James K. 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 Kent Smith, who also goes by Kent Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 17 firms and has passed the Series 66, Series 65, Series 63, Series 7, Series 52 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
November 12, 2013 - June 23, 2014
NEW ENGLAND SECURITIES
October 9, 2013 - June 23, 2014
NEW ENGLAND SECURITIES
January 30, 2013 - July 22, 2013
SIGNATOR INVESTORS, INC.
November 16, 2012 - July 22, 2013
SIGNATOR INVESTORS, INC.
November 22, 2010 - November 29, 2012
MSI FINANCIAL SERVICES, INC.
September 27, 2010 - November 29, 2012
MSI FINANCIAL SERVICES, INC.
September 5, 2007 - September 16, 2010
AUSTIN ATLANTIC CAPITAL INC.
June 22, 2006 - August 30, 2007
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
December 5, 2005 - April 13, 2006
HATTIER, SANFORD & REYNOIR, A LIMITED PARTNERSHIP, L.L.P.
February 22, 2005 - December 15, 2005
TRUIST SECURITIES, INC.
October 7, 1997 - February 22, 2005
NBC CAPITAL MARKETS GROUP, INC.
June 11, 1996 - January 21, 1997
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 22, 1995 - July 11, 1996
DAIN RAUSCHER INCORPORATED
November 2, 1995 - December 14, 1995
FIRST INTERSTATE INVESTMENTS,INC.
June 6, 1994 - October 11, 1994
FIRST COLORADO FINANCIAL SERVICES COMPANY, INC.
May 15, 1991 - April 11, 1994
KFS BD, INC.
March 14, 1991 - May 29, 1991
U.S. BANCORP INVESTMENTS, INC.
August 31, 1988 - September 13, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
June 2, 1987 - September 27, 1988
LM CONSOLIDATED FINANCIAL CORP.
August 16, 1985 - June 10, 1987
BOETTCHER & COMPANY, INC.
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
NEW ENGLAND SECURITIES
CRD#: 615 / SEC#: 801-47061, 8-13910
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEW ENGLAND LIFE INSURANCE COMPANY ("NELICO" OR "NEW ENGLAND FINANCIAL") | 100% SHAREHOLDER | |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| CRUZ, ORLANDO RAFAEL JR | PRESIDENT AND CHAIRMAN | 2311194 |
| FORGET, ELIZABETH MARY | DIRECTOR AND CHAIRMAN | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| HALPERIN, JEFFREY PAUL | CHIEF COMPLIANCE OFFICER, BROKER-DEALER | 2899327 |
| HONKUS, TINA MARIE | VICE-PRESIDENT, LICENSING AND REGISTRATION | 1288648 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL OPERATIONS PRINCIPAL | 2210722 |
| MINK, DAVID MYERS | CHIEF OPERATIONS OFFICER | 2606831 |
| MURPHY, SEAN ANDREW | VICE-PRESIDENT | 1963911 |
| REYNOLDS, TYLA LYNN | SECRETARY | 6318828 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 10 |
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.
