FINOP OUTSOURCE

James R. Richards has been a FinOp for over 20 years with a wide variety of firms, including and Alternative Trading System, four general securities dealers, a municipal finance dealer, a dealer in annuities, an investment banking firm,  and eight captive dealers in the energy business.  He holds FINRA Licenses (Series 7, 24, 27, 53, 62, 65, 79, and 99).  He brings a wide range of experience in the Broker-Dealer industry as well as other industries.

About

education

SEC Rule 15c3-1 Compliance Specialist

BBA - Stephen F. Austin State University.

MA - University of Texas at Dallas.

CFA Charterholder


Member of CFA Institute and CFA Society of Dallas-Fort Worth

  • Independent member of the board of directors of Venturis Therapeutics, Inc., a biopharmaceutical company.  Chairman of the Compensation Committee.​
  • Shareholder, member of the board of directors and Chief Financial Officer of Nobles & Richards, Inc., a FINRA Member Broker/Dealer, a Managing Dealer for issuers of alternative investments.
  • Senior Lecturer in Finance at the University of Texas at Dallas.
  • Former Independent member of the board of directors of Xponential, Inc., an investment company with subsidiaries in consumer finance and investment management.  Chairman of the Audit Committee.
  • Former member of the board of directors of three reconstituted savings and loan associations under the Management Consignment Program of the FSLIC.
  • Founding shareholder and member of the board of directors of Lincoln Capital Management, LLC, a mezzanine lending fund, specializing in construction finance.
  • Formerly, as an elected member of the City Council of Dallas, member of the Board of Trustees of the City of Dallas Employee Pension Fund and the City of Dallas Police and Fire Pension Fund
  • Former Vice President – Corporate Planning of Gulf United Corporation (NYSE:GHC), an investment company with subsidiaries in life insurance, broadcasting, and real estate.
  • Former Audit Manager with Deloitte Haskins & Sells, Certified Public Accountants.  Practice concentration in life insurance and investment companies.