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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JAMES MICHAEL RICHARD

Advisor at QUINCY WELLS ADVISORS, LLC

Wooster, OH | CHICAGO, IL

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Search this name across graphsid dfx:ria:f9042980-4e7e-b095-e8d7-135e33454d22

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Aug 22, 2003 to Sep 14, 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: QUINCY WELLS ADVISORS, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 3, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jul 3, 2002
First registration: Aug 22, 2003
Dual registered: yes, broker-dealer
Other names: MICHAEL JAMES RICHARD|MICHAEL JAMES RICHARD
IAPD individual key: 4487263

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
QUINCY WELLS ADVISORS, LLC	Independent wealth	Mar 27, 2026	n/a	yes	CHICAGO, IL\|Wooster, OH	Current employment
QUINCY WELLS ADVISORS, LLC	Independent wealth	Jan 10, 2022	Mar 26, 2026	no	Wooster, OH\|CHICAGO, IL	Previous registration
QUINCY WELLS ADVISORS, LLC	Independent wealth	Nov 8, 2021	Dec 31, 2021	no	CHICAGO, IL\|Wooster, OH	Previous registration
B RILEY WEALTH MANAGEMENT	Former SEC adviser	Jul 19, 2010	Sep 2, 2021	no	Chicago, IL\|WOOSTER, OH\|Memphis, TN\|Wooster, OH	Previous registration
ANDERSON & STRUDWICK, INCORPORATED	Former SEC adviser	Jul 1, 2010	Jul 16, 2010	no	CHICAGO, IL	Previous registration
JESUP & LAMONT SECURITIES CORP	n/a	Nov 6, 2009	Jul 7, 2010	no	CHICAGO, IL	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Sep 27, 2006	Nov 10, 2009	no	JERSEY CITY, NJ	Previous registration
CITICORP INVESTMENT SERVICES	n/a	May 9, 2005	Jun 22, 2005	no	GLENDORA, CA	Previous registration
MORGAN STANLEY DW INC.	n/a	Aug 22, 2003	Nov 14, 2003	no	BEVERLY HLS, CA	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
B RILEY WEALTH MANAGEMENT	QUINCY WELLS ADVISORS, LLC	Sep 2, 2021	Nov 8, 2021	67	Firm change	Ibd to RIA
ANDERSON & STRUDWICK, INCORPORATED	B RILEY WEALTH MANAGEMENT	Jul 16, 2010	Jul 19, 2010	3	Firm change	Other
JESUP & LAMONT SECURITIES CORP	ANDERSON & STRUDWICK, INCORPORATED	Jul 7, 2010	Jul 1, 2010	-6	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	JESUP & LAMONT SECURITIES CORP	Nov 10, 2009	Nov 6, 2009	-4	Firm change	Other
CITICORP INVESTMENT SERVICES	E*TRADE CAPITAL MANAGEMENT, LLC	Jun 22, 2005	Sep 27, 2006	462	Firm change after gap	Other
MORGAN STANLEY DW INC.	CITICORP INVESTMENT SERVICES	Nov 14, 2003	May 9, 2005	542	Firm change after gap	Other

Relationships

Registered with (7)

→ QUINCY WELLS ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 10, 2022 to Mar 26, 2026factForm ADV
→ B RILEY WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 19, 2010 to Sep 2, 2021factForm ADV
→ ANDERSON & STRUDWICK, INCORPORATEDRegistered adviserregistration: previous registration
Jul 1, 2010 to Jul 16, 2010factForm ADV
→ JESUP & LAMONT SECURITIES CORPRegistered adviserregistration: previous registration
Nov 6, 2009 to Jul 7, 2010factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Sep 27, 2006 to Nov 10, 2009factForm ADV
→ CITICORP INVESTMENT SERVICESRegistered adviserregistration: previous registration
May 9, 2005 to Jun 22, 2005factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Aug 22, 2003 to Nov 14, 2003factForm ADV

Dated events

No dated event names this entity yet.