James Tracy Richards

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 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:

Current Employers

Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2020-01-07
IA	RA	APPROVED	2011-01-03

TX RA
APPROVED

Since 2020-01-07
IA RA
APPROVED

Since 2011-01-03

Branch Locations

Johnston, IA • United States

6400 Westown Parkway Suite 115 [Ga/Gw-Rbo], West Des Moines, IA 50266 • United States

2001 Spruce Hills Dr, Bettendorf, IA 52722 • United States

5407 Victoria Ave, Davenport, IA 52807 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Wells Fargo Advisors Llc	Davenport	IA	01/2011	11/2016
Wells Fargo Clearing Services, Llc	Davenport	IA	11/2016	Present
Wells Fargo Clearing Services, Llc	Davenport	IA	11/2016	Present

01/2011 → 11/2016

Wells Fargo Advisors Llc

Davenport, IA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Davenport, IA
11/2016 → Present

Wells Fargo Clearing Services, Llc

Davenport, IA

Previous Registrations

2009-12-23 → 2011-01-03

Wells Fargo Investments, Llc

Davenport, IA
2004-06-04 → 2010-02-17

Windsor Financial Group Llc

Des Moines, IA
2007-04-02 → 2007-11-26

Morgan Stanley & Co. Llc

West Des Moines, IA
2005-10-21 → 2007-04-02

Morgan Stanley Dw Inc.

West Des Moines, IA

West Des Moines, IA
1997-07-01 → 2003-11-20

Miles Capital, Inc.

West Des Moines, IA

Other Businesses

CHATAUGUA ROAD BAND, NOT INVT RELATED, JOHNSTON, IA, BAND MEMBER, START DATE 4/14/2017, 15 HRS PER MONTH, 0 HRS DURING TRADING, ENTERTAINER. DIVERGENT BAND; NOT INV RELATED; JOHNSTON, IA; 100% OWNERSHIP; START DATE 10/4/2024; 10 HOURS PER MONTH; 1 DURING TRADING; RECORDING/PERFORMING ARTIST RELEASING MUSIC ON ALL MAJOR DIGITAL STREAMING PLATFORMS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2010-02-25
S65	Uniform Investment Adviser Law Examination	1991-01-31

S63 Uniform Securities Agent State Law Examination

2010-02-25
S65 Uniform Investment Adviser Law Examination

1991-01-31

View on SEC IAPD