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 Lee Smith, who also goes by Jim Lee Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 23 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 28, 2015 - February 19, 2019
CHARLES SCHWAB & CO., INC.
March 28, 2014 - October 6, 2014
RS FUNDS DISTRIBUTOR LLC
July 31, 2013 - April 18, 2014
GUARDIAN INVESTOR SERVICES LLC
May 12, 2010 - July 12, 2013
BLACKROCK INVESTMENTS, LLC
May 12, 2010 - July 12, 2013
BLACKROCK CAPITAL MARKETS, LLC
June 16, 2008 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
January 2, 2008 - July 12, 2013
BLACKROCK EXECUTION SERVICES
August 9, 2006 - November 28, 2007
BOFA DISTRIBUTORS, INC.
June 14, 2006 - August 18, 2006
BFD DISTRIBUTOR, INC.
June 2, 2004 - August 19, 2005
BISYS SHELF B/D (1), INC.
June 2, 2004 - February 24, 2006
NEW COVENANT FUNDS DISTRIBUTOR, INC.
June 2, 2004 - August 18, 2006
VICTORY CAPITAL SERVICES, INC.
June 2, 2004 - August 18, 2006
PROFUNDS DISTRIBUTORS, INC.
June 2, 2004 - August 18, 2006
FORESIDE INVESTMENT SERVICES, LLC
June 2, 2004 - August 18, 2006
IMST DISTRIBUTORS, LLC
June 2, 2004 - August 18, 2006
HEARTLAND INVESTOR SERVICES, LLC
June 2, 2004 - August 18, 2006
FTFD FUND DISTRIBUTOR, INC.
June 2, 2004 - August 18, 2006
BD COMPLIANCE SOLUTIONS, LLC
June 2, 2004 - August 18, 2006
FORESIDE DISTRIBUTION SERVICES, L.P.
June 2, 2004 - August 18, 2006
CITI DISTRIBUTION SERVICES, INC.
March 16, 2004 - August 18, 2006
FUNDS DISTRIBUTOR, LLC
January 3, 2000 - September 28, 2001
USAA INVESTMENT SERVICES COMPANY
November 18, 1996 - October 15, 1999
FORESIDE DISTRIBUTION SERVICES, L.P.
October 22, 1992 - August 18, 1995
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
