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RIA / WealthAdvisordual registered (broker-dealer)35 years in industry

JAMES TRACY RICHARDS

Advisor at WELLS FARGO ADVISORS

WEST DES MOINES, IA | JOHNSTON, IA | BETTENDORF, IA | DAVENPORT, IA

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Search this name across graphsid dfx:ria:cd18fee1-17ba-46c5-b69b-26711a60ae50

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 1, 1997 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: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 31, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 31, 1991
First registration: Jul 1, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 1453170

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
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	n/a	yes	JOHNSTON, IA\|WEST DES MOINES, IA\|BETTENDORF, IA\|DAVENPORT, IA	Current employment
WELLS FARGO INVESTMENTS, LLC	n/a	Dec 23, 2009	Jan 3, 2011	no	DAVENPORT, IA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Nov 26, 2007	no	WEST DES MOINES, IA	Previous registration
MORGAN STANLEY DW INC.	n/a	Oct 21, 2005	Apr 2, 2007	no	WEST DES MOINES, IA\|WEST DES MOINES, IA	Previous registration
WINDSOR FINANCIAL GROUP LLC	Former SEC adviser	Jun 4, 2004	Feb 17, 2010	no	DES MOINES, IA	Previous registration
MILES CAPITAL, INC.	Former SEC adviser	Jul 1, 1997	Nov 20, 2003	no	WEST DES MOINES, IA	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
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other
WINDSOR FINANCIAL GROUP LLC	MORGAN STANLEY DW INC.	Feb 17, 2010	Oct 21, 2005	-1,580	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	WELLS FARGO INVESTMENTS, LLC	Nov 26, 2007	Dec 23, 2009	758	Firm change after gap	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MILES CAPITAL, INC.	WINDSOR FINANCIAL GROUP LLC	Nov 20, 2003	Jun 4, 2004	197	Firm change	Other

Relationships

Registered with (6)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Jan 3, 2011 to presentfactForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Dec 23, 2009 to Jan 3, 2011factForm ADV
→ WINDSOR FINANCIAL GROUP LLCRegistered adviserregistration: previous registration
Jun 4, 2004 to Feb 17, 2010factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Nov 26, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Oct 21, 2005 to Apr 2, 2007factForm ADV
→ MILES CAPITAL, INC.Registered adviserregistration: previous registration
Jul 1, 1997 to Nov 20, 2003factForm ADV

Dated events

No dated event names this entity yet.