James Oliver Ritchie

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → Present
  Wells Fargo Advisors Financial Advisors, Llc
  Irvine, CA

Previous Registrations

• 2009-06-01 → 2016-05-09
  Morgan Stanley
  Irvine, CA
  Irvine, CA
• 2008-12-12 → 2009-06-01
  Morgan Stanley & Co. Llc
  Irvine, CA
• 2006-09-29 → 2008-12-18
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA
  Mission Viejo, CA
• 2001-10-30 → 2006-10-09
  Citigroup Global Markets Inc.
  Laguna Niguel, CA
  Laguna Niguel, CA

Other Businesses

TAVISTOCK WEALTH MANAGEMENT, INC; INVESTMENT RELATED; IRVINE,CA; 100% OWNERSHIP; START DATE 09/06/2019; NUMBER OF HOURS PER MONTH 0; NUMBER OF HOURS DURING TRADING 0; FINANCIAL ADVISOR. TRUSTEE FOR THE TAVISTOCK WEALTH MANAGEMENT, INC 401K FBO SELF AND ASSOCIATE; INVESTMENT RELATED; LAGUNA NIGUEL, CA; FINET PRACTICE 401K PLAN; START DATE 4/2021; 0 HRS PER MONTH; 0 HRS DURING TRADING. RITCHIE GP LLC; INV RELATED; IRVINE,CA; MERCHANT PARTNERSHIP;90% OWNERSHIP; START DATE: 12/31/2025; 5 HRS PER MONTH; 0 HRS DURING TRADING;|

Exams

• S65 Uniform Investment Adviser Law Examination
  2001-04-23
• S63 Uniform Securities Agent State Law Examination
  1997-12-08