Unclaimed Profile

R James Richards

WEDBUSH SECURITIES INC.·LOS ANGELES, California

SIE, Series 7, Series 9, Series 10, Series 27, Series 57TO, Series 99TOWEDBUSH SECURITIES INC.

ATTN: BUSINESS CONDUCT, LOS ANGELES, CA 90017CRD# 3120249Firm CRD# 877

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

R James Richards · LOS ANGELES, CA

Registration

CRD #3120249 · WEDBUSH SECURITIES INC.

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 27

Series 57TO

Series 99TO

Disclosure History

Verify on FINRA BrokerCheck →

Source: SEC IAPD. Resolutions may have changed since.

Firm Overview

Firm

WEDBUSH SECURITIES INC.

CRD 877 · SEC 801-6358

AUM

$5.7B

Regulatory assets under management

Employees

950

10,099 client accounts

Services offered by WEDBUSH SECURITIES INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at WEDBUSH SECURITIES INC. →

Introduction

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Frequently Asked Questions

What services does R James Richards offer?

R James Richards specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in LOS ANGELES, California for a consultation.

What are R James Richards's credentials?

R James Richards is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is R James Richards located?

R James Richards is based in LOS ANGELES, California, working with WEDBUSH SECURITIES INC.. Their office serves clients in the LOS ANGELES metropolitan area and surrounding communities.

How does R James Richards charge for services?

R James Richards's firm is compensated through percentage of aum, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is WEDBUSH SECURITIES INC.?

WEDBUSH SECURITIES INC. has approximately 950 employees and manages $5.7B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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