James B. Smith
Professional summary
James Bradley Smith, who also goes by Brad Smith, James Brad Smith, is a registered financial advisor currently at MISSIONSQUARE RETIREMENT located in Waunakee, Wisconsin and MISSIONSQUARE INVESTMENT SERVICES located in Washington, District Of Columbia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Bradley Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2017 - Present
MISSIONSQUARE RETIREMENT
March 8, 2017 - Present
MISSIONSQUARE INVESTMENT SERVICES
Office #1: 777 North Capitol Street, Ne Suite 600, Washington, DC 20002-4240August 12, 2016 - February 1, 2017
VALIC FINANCIAL ADVISORS, INC.
January 14, 2016 - February 1, 2017
VALIC FINANCIAL ADVISORS, INC.
May 19, 2000 - December 16, 2003
FIDELITY DISTRIBUTORS COMPANY LLC
March 31, 1998 - April 18, 2000
VOYA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/11/2024)
(12/2/2024)
(12/2/2024)
(3/8/2017)
(3/8/2017)
Exams
FINRA
Current Firm
MISSIONSQUARE RETIREMENT
CRD#: 108783 / SEC#: 801-18273
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 58,580 |
| AUM (Assets Under Management) | $ 5,959,398,729 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
Red Flags
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