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James D Richardson

Investment Adviser Representative at GALLAGHER FIDUCIARY ADVISORS, LLC

Boston, MACRD #4512363Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
7 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 7 states
ConnecticutGeorgiaMassachusettsNew HampshireNew YorkPennsylvaniaRhode Island
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/30/2015
Series 63
Uniform Securities Agent State Law Examination
Passed 11/13/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 10/8/2002
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 6/17/2002
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 4/2/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.02
Source

Gallagher Fiduciary Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

GALLAGHER FIDUCIARY ADVISORS, LLCCurrent
6/8/2022Boston, MA
KESTRA ADVISORY SERVICES, LLC
5/2/20163/31/2022Boston, MA
NFP ADVISOR SERVICES, LLC
3/23/20169/22/2016Boston, MA
LPL FINANCIAL LLC
4/7/201511/30/2015Boston, MA

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James D Richardson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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