James D. 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 David Smith, who also goes by Jd Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 10 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2012 - November 6, 2012
LOWELL & COMPANY, INC.
September 21, 2009 - December 31, 2010
LOWELL & COMPANY, INC.
February 26, 2008 - August 20, 2008
LEO BROKERAGE, LLC
January 25, 2006 - December 18, 2007
LOWELL & COMPANY, INC.
January 5, 2006 - December 18, 2007
LOWELL & COMPANY, INC.
July 30, 2002 - December 31, 2005
SIGNAL SECURITIES, INC.
April 26, 2000 - October 25, 2001
MML INVESTORS SERVICES, LLC
June 8, 1998 - May 31, 2000
NORTHSTAR SECURITIES, INC.
July 15, 1997 - December 9, 1998
DOMINION CAPITAL CORPORATION
April 30, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
April 30, 1991 - July 24, 1997
PRUCO SECURITIES, LLC.
February 15, 1990 - March 12, 1991
IDS LIFE INSURANCE COMPANY
February 15, 1990 - March 12, 1991
AMERIPRISE FINANCIAL SERVICES, 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
Current Firm
LOWELL & COMPANY, INC.
CRD#: 24913 / SEC#: 801-69460, 8-41437
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LOWELL, WILLIAM HAMILTON | CHIEF COMPLIANCE OFFICER/PRESIDENT/CROP/SROP | 1158722 |
Disclosures
| Regulatory Event | 3 |
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.
