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James Richards

Personal Assistant

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Qualifications

Qualifications

  • R01 (Financial Services, Regulation and Ethics)

    This qualification assesses a knowledge and understanding of the financial services industry, including regulation, legislation and the Code of Ethics.

  • R02 (Investment Principles)

    This qualification assesses a knowledge and understanding of investment products and the application of the investment advice process.

  • R03 (Personal Taxation)

    This qualification assesses a knowledge and understanding of the UK taxation system, and the ability to analyse the taxation treatment of individuals and trusts during the investment advice process.

  • R04 (Pensions and Retirement Planning)

    This qualification assesses a knowledge and understanding of and ability to analyse pension and retirement planning issues.

  • R05 (Financial Protection)

    This qualification assesses a knowledge and understanding of and ability to analyse financial protection planning issues.

When James’ at work

James brings over five years of experience within the financial services industry. In his role as Personal Assistant, he provides essential support across a range of areas, including general administration and managing new business enquiries for clients.

He has hands-on experience assisting with pension transfers, protection applications, and investment processing, giving him a well-rounded understanding of the advice journey and ensuring that client needs are handled efficiently and professionally.

James holds the RO1, RO2, RO3, RO4 and RO5 qualifications, reflecting his strong technical knowledge and commitment to the profession.

When James’ at home

James enjoys staying active and can often be found running 5Ks throughout the week. He has completed his first half marathon, embracing the challenge with the same dedication he brings to his role. He also has a passion for travel and enjoys exploring new destinations whenever the opportunity arises.

We asked James

What’s the best piece of advice you’ve ever received?

There’s no substitute for hard work.

What’s a song that never fails to get you dancing?

‘Dancing with the Dead’ by Powerwolf

Where is your favourite location in the world?

Victoria, British Columbia, Canada

Your story

A professional or company owner

Close to retiring

Enjoying retirement years

Passing on wealth

Our story

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PIA Wealth Management is a trading style of Professional Independent Advisers Limited is authorised and regulated by the Financial Conduct Authority. FCA Register No: 125921. Registered in England and Wales. Registration No: 2598631. Registered Office: Hayward Court, 2b Tettenhall Road, Wolverhampton, WV1 4SF.

We take client satisfaction very seriously. If you are not happy with any aspect of our service, you are entitled to make a complaint. Our policy on this is available on request. If you wish to register anything you are dissatisfied about, please contact us either in writing, by telephone or email. For your protection if you cannot settle your complaint with us, you may be entitled to refer it to the Financial Ombudsman Service https://www.financial-ombudsman.org.uk.

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