James Robert Richards
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Robert Richards is an investment adviser representative with Northwestern Mutual Investment Services,llc in Mequon, WI, where they have been registered since 2021. They have worked in the securities industry since 2004 and have been registered with 3 firms, including BMO Harris Financial Advisors, Inc and Scottrade Investment Management. They have passed 5 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Wisconsin.
Office
Advisors at this office: 78
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Wisconsin
- Broker:
1 state or territory
Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Scottrade, Inc.Mar 2002 – Mar 2018Mequon, WI
- UnemployedMar 2018 – Jul 2018Mequon, WI
- BMO Harris Financial AdvisorsJul 2018 – Jan 2021Milwaukee, WI
- Northwestern Mutual Life Insurance CompanyJan 2021 – no end date reportedMilwaukee, WI
- Northwestern Mutual Investment Services, LLCJan 2021 – no end date reportedMilwaukee, WI
Official records & sources
Data as of August 11, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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Other advisors whose filed branch office is in the same city.
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 Robert Richards 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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