James Michael Richard

Great Point Advisors, LLC

23 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Retirement PlanningFinancial Planning & CoachingEducation PlanningTax PlanningEstate PlanningInvestment Management

Great Point Advisors, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

25 advisors

Number of Clients

78 clients

Average Client Portfolio

$578K average

Assets Under Management

$45.1M

Location

Wooster, OH

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

November 2008

Denied

View Full SEC Report How to Read Disclosures

Other Business Activities

Michael owns Lee Road LLC, a building that rents space to a post office and a convenience store, since 2017. He spends a few hours per week during normal trading hours and about a quarter of his time outside of normal trading hours on this activity.

Employment History

Current Registrations

Quincy Wells Advisors, LLC

January 2022 - Present · 4 yrs 1 mo

Great Point Capital LLC

November 2021 - Present · 4 yrs 3 mos

Great Point Capital LLCBroker

November 2021 - Present · 4 yrs 3 mos

Previous Registrations

Great Point Advisors, LLC

November 2021 - December 2021 · 1 mo

B Riley Wealth Management

July 2010 - September 2021 · 11 yrs 2 mos

B. Riley Wealth ManagementBroker

July 2010 - September 2021 · 11 yrs 2 mos

Anderson & Strudwick, Incorporated

July 2010 - July 2010 · 0 mos

Anderson & Strudwick, IncorporatedBroker

July 2010 - July 2010 · 0 mos

Jesup & Lamont Securities CORP.

November 2009 - July 2010 · 8 mos

Jesup & Lamont Securities CORPBroker

November 2009 - July 2010 · 8 mos

E*trade Capital Management, LLC

September 2006 - November 2009 · 3 yrs 2 mos

E*trade Securities LLCBroker

June 2005 - November 2009 · 4 yrs 5 mos

Citicorp Investment Services

May 2005 - June 2005 · 1 mo

Citicorp Investment ServicesBroker

November 2003 - June 2005 · 1 yr 7 mos

Morgan Stanley

August 2003 - November 2003 · 3 mos

Morgan Stanley Dw INC.Broker

May 2002 - November 2003 · 1 yr 6 mos

State Registrations2 states

CAOH

AdvisorBrokerBoth

Exams

No exam information available for this advisor.