James Richard Smith
CFP®Professional Summary
James Richard Smith, CFP® is a registered financial advisor currently at PRIME SOLUTIONS FINANCIAL SERVICES CORP. located in Horshame , Pennsylvania. James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 5 firms and has passed the Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures on record.
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Credentials
Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
PRIME SOLOTIONS FINANCIAL SERVICES CORP. | PRIME SOLUTIONS FINANCIAL SERVICES CORP. | PRIME SOLUTIONS ADVISORY
Contact Information
Main Address
Newtown Square, PAPhone Number
(610) 886-4320# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
46AUM (Assets Under Management)
$14,193,714Similar Advisors
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(11/6/2002)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view James Richard Smith's CRS (Customer Relationship Summary).
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