RICHARD JAMES & ASSOCIATES, INC.

Broker-DealerFINRA MemberEst. 2014
Total AUM
Advisory reps
4
Avg account
$0

Firm details

Headquarters
SYOSSET, New York
CRD number
169131
Registered since
July 8, 2014

Firm profile

FINTRX

Overview

Richard James & Associates, Inc. is a corporation that registered with the SEC in 2014. FINTRX classifies the firm as unclassified and lists its ownership as a mix of a domestic entity and an individual. Available records provide limited detail about the firm's business model: there are no entries for fee structure, client segments, or stated advisory activities in the FINTRX profile. The profile also flags that the firm is not a capital allocator, is not active on ESG, and is not registered as a multistate adviser. FINTRX contains no disclosure of the firm's external affiliations, industry activities, or product focus beyond those high-level attributes. The snapshot does show two office locations on file but does not provide addresses or geographic details.

Assets & Accounts

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Contacts

3 of 4
  • BARBARA HALPERN

    PresidentCRD 711919

  • PHILIP FLORIO

    OperationsCRD 2377440

  • PAUL TUCCILLO

    Registered RepresentativeCRD 5892127

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

SYOSSET, NY

NASSAU

Location

SYOSSET, NY

Headquartered in SYOSSET, NY, anchoring the New York-Newark, NY-NJ-CT-PA metro in the Northeast.

Metro area
New York-Newark, NY-NJ-CT-PA
Region
Northeast
County
NASSAU
Address
2 Roosevelt Ave
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth