James L. 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 Lawrence Smith MR., who also goes by James Lawrence Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 4 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - December 19, 2023
SKEWVIEWS, LLC
October 25, 2011 - January 18, 2017
OTR GLOBAL TRADING LLC
December 4, 2006 - April 12, 2011
OTA LLC
October 6, 2004 - March 1, 2007
OPTIONS TRADING ASSOCIATES LLC
February 3, 1997 - October 6, 2004
OTA LLC
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
Series 55
Date: 12/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
SKEWVIEWS, LLC
CRD#: 290129 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 3 |
| AUM (Assets Under Management) | $ 250,000 |
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.
