James R. Smith

PRIME SOLUTIONS FINANCIAL SERVICES

HORSHAME , PA 19044

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CRD#: 2912761

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

November 6, 2002 - Present

PRIME SOLUTIONS FINANCIAL SERVICES CORP.

Office #1: 721 Dresher Road Suite 2400, Horshame , PA 19044

RIA

CRD#: 120499

HORSHAME , PA

Past

January 23, 2002 - May 24, 2012

PRISOL SECURITIES, INC.

CRD#: 115141

HORSHAM, PA

Past

May 27, 1999 - December 31, 2001

PRIMESOLUTIONS SECURITIES, INC.

CRD#: 46017

CLEVELAND, OH

Past

March 20, 1998 - May 18, 1999

FAIRFIELD GROUP, INC.

CRD#: 14671

BALTIMORE, MD

Past

August 27, 1997 - May 7, 1998

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(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

State Security Law Exam

Series 63

Date: 9/22/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/26/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/17/1998

General Securities Principal Examination

Current Firm

PRIME SOLUTIONS FINANCIAL SERVICES CORP.

PRIME SOLOTIONS FINANCIAL SERVICES CORP. | PRIME SOLUTIONS FINANCIAL SERVICES CORP. | PRIME SOLUTIONS ADVISORY

CRD#: 120499 / SEC#: 801-63367

RIA

Registered Investment Advisory firm - (7/27/2012 Terminated)

Pennsylvania

Registered Investment Advisory firm - (7/13/2011 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

Newtown Square, PA

Mailing Address

Phone number

(610) 886-4320

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	46
AUM (Assets Under Management)	$ 12,692,478

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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James R. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Richard Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIME SOLUTIONS FINANCIAL SERVICES CORP.

PRISOL SECURITIES, INC.

PRIMESOLUTIONS SECURITIES, INC.

FAIRFIELD GROUP, INC.

SAFEGUARD SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/22/1997

Series 7

Date: 8/26/1997

Series 24

Date: 4/17/1998

Current Firm

PRIME SOLUTIONS FINANCIAL SERVICES CORP.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PRIME SOLUTIONS FINANCIAL SERVICES CORP.

TRUST BUT VERIFY

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