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RIA / WealthAdvisordual registered (broker-dealer)31 years in industry

JAMES SYLVERE RICHARD

Advisor at CORAL REEF ADVISORS LLC

PONTE VEDRA BEACH, FL | Ponte Vedra, FL

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Apr 4, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CORAL REEF ADVISORS LLC
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 15, 1995earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: May 15, 1995
First registration: Apr 4, 2002
Dual registered: yes, broker-dealer
Other names: Jim Richard
IAPD individual key: 2602752

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CORAL REEF ADVISORS LLC	Former SEC adviser	Feb 27, 2024	n/a	yes	Ponte Vedra, FL\|PONTE VEDRA BEACH, FL	Current employment
SNOWDEN CAPITAL ADVISORS LLC	Bd affiliated wealth	Nov 1, 2019	Mar 14, 2024	no	Chicago, IL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Sep 19, 2013	Nov 6, 2019	no	CHICAGO, IL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jul 8, 2008	Oct 22, 2013	no	CHICAGO, IL\|NORTHBROOK, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jul 29, 2003	Jul 28, 2008	no	CHICAGO, IL\|CHICAGO, IL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 1, 2003	Aug 1, 2003	no	CHICAGO, IL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Apr 4, 2002	Jul 1, 2003	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SNOWDEN CAPITAL ADVISORS LLC	CORAL REEF ADVISORS LLC	Mar 14, 2024	Feb 27, 2024	-16	Firm change	Ibd to new firm
J.P. MORGAN SECURITIES LLC	SNOWDEN CAPITAL ADVISORS LLC	Nov 6, 2019	Nov 1, 2019	-5	Firm change	Wirehouse to ibd
CREDIT SUISSE SECURITIES (USA) LLC	J.P. MORGAN SECURITIES LLC	Oct 22, 2013	Sep 19, 2013	-33	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CREDIT SUISSE SECURITIES (USA) LLC	Jul 28, 2008	Jul 8, 2008	-20	Firm change	Other
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Aug 1, 2003	Jul 29, 2003	-3	Firm change	Wirehouse to wirehouse
PRUDENTIAL EQUITY GROUP, LLC	WELLS FARGO ADVISORS	Jul 1, 2003	Jul 1, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
157299:328929:IL:2024-03-14	Mar 14, 2024	Feb 27, 2024	CHICAGO, IL	Firm change
79:157299:IL:2019-11-06	Nov 6, 2019	Nov 1, 2019	CHICAGO, IL	Firm change

Relationships

Registered with (7)

→ CORAL REEF ADVISORS LLCRegistered adviserregistration: current employment
Feb 27, 2024 to presentfactForm ADV
→ SNOWDEN CAPITAL ADVISORS LLCRegistered adviserregistration: previous registration
Nov 1, 2019 to Mar 14, 2024factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Sep 19, 2013 to Nov 6, 2019factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jul 8, 2008 to Oct 22, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jul 29, 2003 to Jul 28, 2008factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jul 1, 2003 to Aug 1, 2003factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Apr 4, 2002 to Jul 1, 2003factForm ADV

Dated events

Occurred
Mar 14, 2024
Advisor changed firm
James Sylvere Richard left Snowden Capital Advisors Llc for Coral Reef Advisors Llc (registered 2024-02-27)
Form ADVobserved 4 days ago