James M. 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 Michael Smith, who also goes by Jim Smith, Smitty 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 11 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2016 - December 31, 2017
SMITH FINANCIAL SERVICES
March 19, 2004 - December 31, 2015
SMITH FINANCIAL SERVICES
July 2, 1999 - October 27, 1999
CANTELLA & CO., INC.
November 17, 1997 - June 30, 1999
AVANTAX INVESTMENT SERVICES, INC.
May 10, 1995 - November 29, 1995
WOODSTOCK FINANCIAL GROUP, INC.
February 7, 1995 - May 10, 1995
FIRST COLONIAL SECURITIES
October 13, 1994 - February 13, 1995
JOSEPHTHAL & CO., INC.
June 7, 1994 - October 27, 1994
D. BLECH & COMPANY, INCORPORATED
August 12, 1992 - May 24, 1994
MORGAN STANLEY DW INC.
January 2, 1987 - July 29, 1992
J. W. GANT & ASSOCIATES, INC.
September 8, 1986 - January 2, 1987
MICHELIN AND COMPANY, INC.
August 26, 1982 - August 25, 1986
FIRST JERSEY SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SMITH FINANCIAL SERVICES
CRD#: 130637 / SEC#:
Contact information
Red Flags
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