James E. Smith
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CRD#: 1222754
James Everell 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 Everell Smith, CFP®, who also goes by Jim Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
At a Glance
Min. Asset: $50K–$100K
Services Offered
Investment Planning
Retirement Planning
Comprehensive Financial Planning
Aliases
Jim 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.
Kishwaukee Enterprises LLC Type of business: rental house Shawnee, OK Start date: 12/30/2013 owner / member Hours per week: 0 Hours during trading: 0 Maintain property Kishwaukee Enterprises LLC Type of business: land development & home building Shawnee, OK Start date: 12/12/2008 Managing member Hours per week: 3 Hours during trading: 1 LLC established to subdivide land into 17 residential building lots. Rental Property Shawnee, OK Start date: 1/1/1996 Owner Hours per week: 1 Hours during trading: 0 Own & manage rental real estate of six vacation timeshare rentals. St Benedict's Catholic Church Shawnee, OK Start date: 1/1/1990 member finance committee Hours per week: 0 Hours during trading: 0 Attend finance committee meetings bi-monthly. Review and approve annual budget for church operations. Commercial rental property Shawnee, OK Start date: 5/1/1994 owner Hours per week: 0 Hours during trading: 0 Small strip center with four tenants. Manage the bookkeeping, collect the rents, and handle the maintenance needs.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®
Start date: 1994
Experience
Past
April 29, 1991 - May 3, 2024
EDWARD JONES
RIA
CRD#: 250
HARRAH, OK
Past
December 26, 1986 - May 3, 2024
EDWARD JONES
BD
CRD#: 250
HARRAH, OK
Past
March 1, 1984 - October 25, 1985
PEPCO SECURITIES, INC.
BD
CRD#: 10336
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".
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
What does exam status mean?
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
PR
Series 22
Passed: 2/29/1984
Direct Participation Programs Representative Examination
Current Firm
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
12555 Manchester Road, St. Louis, MO 63131
Mailing Address
12555 Manchester Road, St. Louis, MO 63131-3710
Phone number
(314) 515-2000
Established
Missouri since 02/20/1941
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Large
# of Employees
36,317
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,630,517 |
| AUM (Assets Under Management) | $ 1,013,608,323,988 |
Disclosures
| Regulatory Event | 180 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2026 | ||
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
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.
