James Kirby Richards

Current Employers

D.A. Davidson & Co.

8 Third Street North, Great Falls, MT 59401 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-16
WA	RA	APPROVED	2010-08-30

TX RA
APPROVED_RES

Since 2019-08-16
WA RA
APPROVED

Since 2010-08-30

Branch Locations

10400 Ne 4Th St. Suite 400, Bellevue, WA 98004 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
D.A. Davidson & Co.	Redmond	WA	11/2001	10/2016
D.A. Davidson & Co.	Bellevue	WA	10/2016	Present

11/2001 → 10/2016

D.A. Davidson & Co.

Redmond, WA
10/2016 → Present

D.A. Davidson & Co.

Bellevue, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-08-27
S63	Uniform Securities Agent State Law Examination	1982-07-26

S65 Uniform Investment Adviser Law Examination

2010-08-27
S63 Uniform Securities Agent State Law Examination

1982-07-26

Other Names

Jim Richards

View on SEC IAPD

Current Employers

D.A. Davidson & Co.

Disclosures

Employment History

Exams

Other Names

Other Firms

Other Investors

Other Offices

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