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James Richards

D.A. Davidson & CO.
44 Years of Experience
Bellevue, WA
1 DisclosureBroker
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James Richards is a registered investment advisor at D.A. Davidson & CO., based in Bellevue, WA, with 44 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Corporate Executives, Estate Planning, Financial Planning & Coaching, and 4 more. Their firm serves 70,118 clients with $42B in assets under management.

D.A. Davidson & CO.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
694 advisors
IM Fee
Planning only
Assets Under Management
$41.8B

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
  • Financial planning services — generally ranges from $1,500 to $15,000 or more depending on the complexity of the client's financial circumstances and local market considerations.
One-Time Plan:$1,500 - $15,000
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Location

10400 NE 4th St., Suite 400, Bellevue, WA, 98004

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History

Regulatory History (1)
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Employment Separation After Allegations
October 2001
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Employment History
Current Registrations
D.A. Davidson & CO.
August 2010 - Present · 16 yrs 2 mos
D.A. Davidson & CO.Broker
November 2001 - Present · 24 yrs 11 mos
Previous Registrations
First Union Securities, INC.Broker
October 1998 - December 2001 · 3 yrs 2 mos
Prudential Securities IncorporatedBroker
May 1990 - November 1998 · 8 yrs 6 mos
Shearson Lehman Hutton INC.Broker
January 1985 - May 1990 · 5 yrs 4 mos
Foster & Marshall/american Express INC.Broker
July 1982 - December 1984 · 2 yrs 5 mos
State Registrations23 states
AKAZCACOFLGAHIIDILMAMEMNMTNVNYOKORSCTNTXUTWAWI
AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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