Richard James & Associates, Inc.

Broker-DealerFINRA Member
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 organized as a corporation with domestic-entity and individual ownership. Publicly available snapshots of the firm provide minimal detail about its business model or investment approach: fields for client base, fee structure, business activities and advisory offerings are blank. The profile flags the firm as not acting as a capital allocator and not identifying as an active ESG investor. It is also not designated as a multi-state adviser, pension consultant, or related adviser in the available records. The firm has not supplied information about its activities or affiliations, and there is no disclosed description of its investment preferences or manager allocation interests.

Assets & Accounts

Location & Offices

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

    Barbara Halpern

    PresidentCRD 711919

  • Philip Florio

    OperationsCRD 2377440

  • William Brown

    BrokerCRD 5774557

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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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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