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JAMES DONALD RICHARDS
JAMES D RICHARDS
CRD#: 1273448
IA
B
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 16 INVERNESS PLACE E BLDG E-200
ENGLEWOOD, CO 80112
ENGLEWOOD, CO 80112
CETERA ADVISOR NETWORKS LLCCRD#: 13572 16 IVERNESS PL E, BLDG E-200
ENGLEWOOD, CO 80112
ENGLEWOOD, CO 80112
0
Disclosures
40
Years of Experience
View By:
State Registrations
B
Colorado 9/3/2013
B
Texas 6/29/2020
IA
Colorado 6/29/2023
IA
Texas 6/29/2023
B
Florida 9/3/2013
B
Washington 10/30/2013
B
Hawaii 9/3/2013
B
Wyoming 1/10/2022
B
Oregon 1/2/2025
SRO Registrations
B
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IA
Registered with this firm since 6/29/2023
B
Registered with this firm since 9/3/2013
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2013 - 06/29/2023 | ENGLEWOOD, CO | |
IA | 09/03/2014 - 11/13/2020 | ENGLEWOOD, CO | |
IA | 05/03/2006 - 09/03/2013 | ENGLEWOOD, CO | |
B | 02/23/1993 - 09/03/2013 | ENGLEWOOD, CO | |
IA | 01/01/1999 - 11/02/2006 | ENGLEWOOD, CO | |
B | 01/11/1990 - 03/11/1993 | FORT WAYNE, IN | |
B | 01/11/1990 - 03/11/1993 | FORT WAYNE, IN | |
B | 06/19/1984 - 01/24/1990 | RADNOR, PA |
ENGLEWOOD, CO
01/01/1999 - 11/02/2006
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.