James Richards
James Richards is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Parker, CO, with 41 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
Parker, CO
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James is an independent insurance agent selling various insurance products since 1984, dedicating a significant amount of time to this. He also owns The Richards Financial Group, Inc. and Texarado Western Advisors, LLC, both financial services businesses, and is involved with real estate and several non-profit organizations.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Vantage Financial Group, INC.
Cetera Advisor Networks LLC
Walnut Street Securities, INC.
Walnut Street Advisers INC
Walnut Street Securities, INC.Broker
Lincoln Financial Advisors CorporationBroker
The Lincoln National Life Insurance CompanyBroker
Cigna Securities, INC.Broker
State Registrations7 states
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