JR
JR

James Sylvere Richard

30 Years of Experience
1 DisclosureBrokerSells Insurance
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)
Firm Size
2 advisors
Number of Clients
13 clients
Average Client Portfolio
$5.4M average
Assets Under Management
$70.4M

Fee Structure

Minimum Investment:None
Financial Planning:Investment management only
AUM-Based Fees (Tiered)
Assets Under ManagementAnnual Fee
Up to $2.0M1.25%
$2.0M - $5.0M1.00%
$5.0M - $10.0M0.80%
$10M+0.70%

Fees may be negotiated at the sole discretion of the Advisor.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location

Northbrook, IL

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History

Regulatory History (1)
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Criminal
November 1994
Final Disposition
Other Business ActivitiesSells Insurance

James is associated with Coral Reef Advisors as a Registered Investment Advisor, dedicating about half his time. He also sells fixed insurance through various providers and works as a registered representative for a broker-dealer, Private Client Services, focusing on commission-based securities sales.

Employment History
Current Registrations
Coral Reef Advisors LLC
February 2024 - Present · 2 yrs
Private Client Services, LLC
February 2024 - Present · 2 yrs
Private Client Services, LLCBroker
February 2024 - Present · 2 yrs
Previous Registrations
Snowden Account Services LLCBroker
November 2019 - March 2024 · 4 yrs 4 mos
Snowden Capital Advisors LLC
November 2019 - March 2024 · 4 yrs 4 mos
J.P. Morgan Securities LLC
September 2013 - November 2019 · 6 yrs 2 mos
J.P. Morgan Securities LLCBroker
September 2013 - November 2019 · 6 yrs 2 mos
Credit Suisse Securities (USA) LLC
July 2008 - October 2013 · 5 yrs 3 mos
Credit Suisse Securities (USA) LLCBroker
July 2008 - October 2013 · 5 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 2003 - July 2008 · 5 yrs
Wachovia Securities, LLC
July 2003 - August 2003 · 1 mo
Wachovia Securities, LLCBroker
July 2003 - August 2003 · 1 mo
Prudential Securities Incorporated
April 2002 - July 2003 · 1 yr 3 mos
Prudential Securities IncorporatedBroker
April 2002 - July 2003 · 1 yr 3 mos
Securities Corporation of IowaBroker
April 1995 - April 2002 · 7 yrs
State Registrations7 states
FLILINOHSCTXWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.