James A. Richmond
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James A Richmond was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 20, 2014 - December 31, 2019
COOK WEALTH, LLC
January 5, 2009 - February 20, 2014
LPL FINANCIAL LLC
January 5, 2009 - October 26, 2018
LPL FINANCIAL LLC
August 28, 2002 - December 15, 2008
EQUITABLE ADVISORS, LLC
August 14, 2002 - December 15, 2008
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COOK WEALTH, LLC
CRD#: 170372 / SEC#: 801-79160
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,422 |
| AUM (Assets Under Management) | $ 529,363,352 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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