James R. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Ronald Smith, who also goes by Jim R Smith, Jim Ronald Smith, Jim Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1982. James had worked at 10 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 31, 1995 - May 7, 1996
NORTH AMERICAN MANAGEMENT, INC.
February 6, 1995 - July 28, 1995
SECURITIES AMERICA, INC.
September 9, 1993 - January 20, 1995
INVESTORS FINANCIAL SERVICES, INC.
July 27, 1992 - August 23, 1993
PACIFIC HARBOR SECURITIES, INC.
September 18, 1989 - July 31, 1992
THE O.N. EQUITY SALES COMPANY
April 13, 1988 - July 17, 1989
TITAN/VALUE EQUITIES GROUP, INC.
December 17, 1987 - April 29, 1988
INVESTMENT BROKERS OF AMERICA
November 6, 1986 - December 17, 1987
WALNUT STREET SECURITIES, INC.
December 12, 1985 - November 17, 1986
LOWRY FINANCIAL SERVICES CORPORATION
February 11, 1985 - October 3, 1985
TITAN/VALUE EQUITIES GROUP, INC.
February 25, 1982 - January 29, 1985
FINANCIAL PLANNERS EQUITY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTH AMERICAN MANAGEMENT, INC.
CRD#: 624 / SEC#: , 8-10362
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
