James Tracy Richards

CRD 1453170 · Wells Fargo Advisors · Bettendorf, IA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 31Series 63Series 65
Registered states (24): Arizona · Arkansas · California · Colorado · Florida · Georgia · Idaho · Illinois · Indiana · Iowa · Louisiana · Michigan · Minnesota · Mississippi · Missouri · New Jersey · New York · North Carolina · South Carolina · Tennessee · Texas · Virginia · Washington · Wisconsin
Years in the industry (source record): 38
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (14)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Bettendorf, IA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Bettendorf, IA · BC capacity

start not retrieved → present
Wells Fargo Investments, LLC
Davenport, IA · BC capacity

Feb 15, 2010 → Jan 3, 2011
Wells Fargo Investments, LLC
Davenport, IA · IA capacity

Dec 23, 2009 → Jan 3, 2011
Windsor Financial Group LLC
Des Moines, IA · IA capacity

Jun 4, 2004 → Feb 17, 2010
Morgan Stanley & Co., Incorporated
West Des Moines, IA · IA capacity

Apr 2, 2007 → Nov 26, 2007
Morgan Stanley & Co., Incorporated
West Des Moines, IA · BC capacity

Apr 2, 2007 → Nov 26, 2007
Morgan Stanley
West Des Moines, IA · IA capacity

Oct 21, 2005 → Apr 2, 2007
Morgan Stanley Dw Inc.
West Des Moines, IA · BC capacity

Oct 21, 2005 → Apr 2, 2007
Investors Management Group Ltd
West Des Moines, IA · IA capacity

Jul 1, 1997 → Nov 20, 2003
Amcore Investment Services, Inc
Rockford, IL · BC capacity

Sep 30, 1998 → Nov 18, 2003
Img Financial Services, Inc.
BC capacity

Jun 24, 1997 → Sep 30, 1998
Brenton Investments, Inc.
Plymouth, MN · BC capacity

Jan 22, 1997 → May 5, 1997
Securities Corporation Of Iowa
Cedar Rapids, IA · BC capacity

Jan 21, 1986 → Jul 1, 1991

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 1453170 ↗ FINRA BrokerCheck record for CRD 1453170 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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