James S. Smith

PARVIN FUND MANAGEMENT

Sioux Falls, SD 57103

Some features on this profile are disabled

CRD#: 1094733

Professional summary

James Steven Smith, who also goes by J Steven Smith, Steven Smith, is a registered financial advisor currently at PARVIN FUND MANAGEMENT located in Sioux Falls, South Dakota and PARVIN ASSET MANAGEMENT, LLC located in Sioux Falls, South Dakota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. James has worked at 6 firms and has passed the Series 63, Series 65, Series 7 and Series 2 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

J Steven Smith | Steven Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Other business names and addresses: Parvin Asset Management, LLC CRD#315701 and Parvin Fund Management, LLC CRD#311304 both located at 401 E. 8th Street, Suite 213A Sioux Falls, SD 57103 and both businesses are investment related; Nature of businesses: Investments; Position: Portfolio Manager; Title/Relationship: Managing Director; Owner Start Date: Parvin Asset Management, LLC July 2021 and Parvin Fund Management, LLC October 2020; Since each of the businesses are under common control of the IAR J. Steven Smith there is no time differential devoted between the businesses during securities trading hours; Duties: Portfolio Manager

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Steven Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 21, 2021 - Present

PARVIN FUND MANAGEMENT

Office #1: 101 S. Reid Street, Sioux Falls, SD 57103

RIA

CRD#: 311304

Sioux Falls, SD

Current

October 19, 2021 - Present

PARVIN ASSET MANAGEMENT, LLC

Office #1: 401 E. 8th Street Suite 200c, Sioux Falls, SD 57103

RIA

CRD#: 315701

SIOUX FALLS, SD

Past

June 29, 2012 - January 16, 2022

PARVIN ASSET MANAGEMENT

RIA

CRD#: 161656

AUGUSTA, GA

Past

February 12, 2002 - June 29, 2012

PHILADELPHIA INVESTMENT MANAGEMENT CO

RIA

CRD#: 105391

CHRISTIANA, PA

Past

May 7, 1998 - December 7, 2000

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

March 19, 1985 - June 26, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PARVIN ASSET MANAGEMENT, LLC

PARVIN ASSET MANAGEMENT | PARVIN ASSET MANAGEMENT, LLC

CRD#: 315701 / SEC#: 801-122001

RIA

Registered Investment Advisory firm - (8/2/2021 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/12/2021)

IAR

Illinois
(8/3/2022)

IAR

North Carolina
(5/23/2023)

IAR

South Dakota
(9/21/2021)

IAR

Texas
(12/12/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/26/1998

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/4/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 5/6/1998

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 7/30/1992

Non-Member General Securities Examination

Current Firm

PARVIN ASSET MANAGEMENT, LLC

PARVIN ASSET MANAGEMENT | PARVIN ASSET MANAGEMENT, LLC

CRD#: 315701 / SEC#: 801-122001

RIA

Registered Investment Advisory firm - (8/2/2021 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

401 E. 8th Street Suite 200c, Sioux Falls, SD 57103

Mailing Address

P.o. Box 415, Pocomoke City, MD 21851

Phone number

(610) 806-9001

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PARVIN FIRM BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	314
AUM (Assets Under Management)	$ 140,987,821

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.

Similar Advisors

Yannis Moore

LPL FINANCIAL LLC

FORT MILL, SC

Andrew Sbardella

EQUITABLE ADVISORS, LLC

IAR

Charlotte, NC

Emily Soper

PACKERLAND BROKERAGE SERVICES, INC.

IAR

Port Charlotte, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Steven Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PARVIN ASSET MANAGEMENT, LLC

PARVIN ASSET MANAGEMENT

PHILADELPHIA INVESTMENT MANAGEMENT CO

NUVEEN SECURITIES, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

PARVIN ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/26/1998

Series 65

Date: 9/4/1992

Series 7

Date: 5/6/1998

Series 2

Date: 7/30/1992

Current Firm

PARVIN ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PARVIN ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors