JAMES A RICHARDS is an investment adviser representative (IAR) with state registration records since 2014, appearing at 3 firms. Currently registered with UBS FINANCIAL SERVICES INC..
| Firm | From | To | Current |
|---|---|---|---|
| UBS FINANCIAL SERVICES INC. | 2019-09-05 | present | Yes |
| MORGAN STANLEY SMITH BARNEY LLC | 2015-09-03 | 2019-08-30 | — |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | 2014-11-05 | 2015-07-30 | — |
| MORGAN STANLEY SMITH BARNEY LLC | 2014-08-08 | 2014-11-11 | — |