JR
CFP
JR
CFP
James Richardson
39 Years of Experience
Lexington, KY
1 DisclosureBroker
James Richardson is a CFP-designated registered investment advisor at Morgan Stanley, based in Lexington, KY, with 39 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
444 East Main Street, Suite 111, Lexington, KY, 40507
Get directionsHistory
Regulatory History (1)
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Customer Dispute
July 1992Settled
Other Business Activities
James is a council member at Kentucky Children's Hospital Executive Development Council, focusing on development activities. This is not investment-related and takes a few hours per week.
Employment History
Current Registrations
Morgan StanleyBroker
June 2009 - Present · 17 yrs 1 mo
Morgan Stanley
June 2009 - Present · 17 yrs 1 mo
Previous Registrations
Citigroup Global Markets INC.Broker
May 2009 - June 2009 · 1 mo
Citigroup Global Markets INC.
May 2009 - June 2009 · 1 mo
Fifth Third Securities, INC.
November 2004 - June 2009 · 4 yrs 7 mos
Fifth Third Securities, INC.Broker
February 2004 - June 2009 · 5 yrs 4 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 1995 - January 2004 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1986 - January 2004 · 17 yrs 2 mos
State Registrations29 states
ALARAZCADCFLGAIDILINKSKYMDMINCNENJNMNYOHOKPASCTNTXUTVAWIWV
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.