JS
James H. Smith
CWM
Monroe, LA 71201
Some features on this profile are disabled
CRD#: 3120584
JS
Professional summary
James Henry Smith III, who also goes by Jaime Smith, James Henry Smith Esq, James Henry Smith, James Smith, is a registered financial advisor currently at CWM, LLC located in Monroe, Louisiana.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. James has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jaime Smith | James Henry Smith Esq | James Henry Smith | James Smith
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.
(1) 06/22/2016: Smith Wealth Management Group - DBA for LPL Business (entity for LPL business) - Smith Wealth Management Group - INV REL - Start 06/15/2016 - 1900 N 18th St, Suite 804, Monroe, LA 71201 - 160 Hr/Mo; 160 During Secs Trdg Hrs (2) 07/21/2016 * GWM Advisors, LLC * Registered Investment Advisor DBA * (Hybrid) Smith Wealth Management Group * INV REL * 1900 N 18t St, Suite 804, Monroe, LA 71201 * IAR - a. yes, b. yes, c. adv's approved & submitted * START 06/15/2016 * 160 HRS/MO DURING SECS TRDG HRS. (3) 2/27/2018 - Smith Wealth Management Group - DBA: (Hybrid) Goss Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:02/22/2018 - 120 Hour(s) Per Month/120 Hour(s) During Trading. (4) 2/9/2022 - NewEdge Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/15/2016 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view James Henry Smith III'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®
NoneExperience
Current
May 24, 2023 - Present
CWM, LLC
Office #1: 1900 N 18th St, Ste 804, Monroe, LA 71201RIA
CRD#: 155344
Monroe, LA
Past
June 15, 2016 - May 23, 2023
NEWEDGE ADVISORS
RIA
CRD#: 171351
Monroe, LA
Past
June 15, 2016 - June 12, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
MONROE, LA
Past
February 13, 2013 - June 24, 2016
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
MONROE, LA
Past
February 13, 2013 - June 24, 2016
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
MONROE, LA
Past
June 7, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MONROE, LA
Past
May 7, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MONROE, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
Registered Investment Advisory firm - (1/3/2011 Approved)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
Louisiana(5/24/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
CL
CWM, LLC
22 WEALTH MANAGEMENT | RFC FINANCIAL PLANNERS | RETIREMENT PLANNING AND WEALTH MANAGEMENT | RETIREMENT PLANNING & WEALTH MANAGEMENT | RETIREMENT EXTENDER | RBV WEALTH MANAGEMENT | RANDALL & POBAR, LLC | PRICE FINANCIAL GROUP | PREMIER WEALTH MANAGEMENT GROUP | PLATINUM WEALTH MANAGEMENT | PINNACLE WEALTH | PINNACLE FINANCIAL GROUP | PILLAR FINANCIAL ADVISORS | PETERMAN FINANCIAL GROUP, INC. | PETERMAN FINANCIAL GROUP | PESTA & PESTA WEALTH MANAGEMENT | PARSONS WEALTH MANAGEMENT | PARISH WEALTH PARTNERS | PANGEA WEALTH | OVATION WEALTH ADVISORS | OSL, INC | OLIVIER GROUP INNOVATIVE WEALTH PLANNERS | OGDEN WEALTH | OAKESON STEINER WEALTH & RETIREMENT | NWCM | NICHOLS WEALTH PARTNERS | NETWORTH FINANCIAL, INC | NESSO WEALTH | NAVION FINANCIAL ADVISORS | NAVIGUIDE WEALTH PARTNERS, INC. | NAUTICA WEALTH ADVISORS | MORGAN WEALTH | MITLIN FINANCIAL | MELERINE WEALTH MANAGEMENT | MEIKLE FINANCIAL GROUP | MEATH WEALTH ADVISORS | MAMMOTH FINANCIAL | MAIN STREET FINANCIAL LIFE ADVISORS, LLC | MAG WEALTH MANAGEMENT | LUND WEALTH MANAGEMENT | LOTUS BRIDGE WEALTH MANAGEMENT | LIONS GATE WEALTH MANAGEMENT, LLC | LIONS GATE WEALTH | LATITUDE WEALTH MANAGEMENT | LATITUDE WEALTH | LANE BROTHERS INVESTMENT COUNSEL | LANE BROTHERS & COMPANY, INC | LANE BROTHERS & CO. | KUHLMANN FINANCIAL | KEYSTONE FINANCIAL | KANAI WEALTH MANAGEMENT GROUP | KABAREC FINANCIAL ADVISORS | JON BAKER FINANCIAL GROUP | JACOB WILLIAM ADVISORY | INTEGRATED WEALTH MANAGEMENT | HORIZON FINANCIAL GROUP | HOLLAR WEALTH | HOFFMEYER WEALTH MANAGEMENT | HIRST FINANCIAL INDEPENDENCE PLANNING | HERITAGE FINANCIAL | HARRISON WALLACE FINANCIAL GROUP, LTD | HARRISON WALLACE | HAL-OTEY FINANCIAL | HAL OTEY FINANCIAL WEALTH MANAGEMENT & RETIREMENT PLANNING | GWA | GRIMM-SCHLIPMAN FINANCIAL | GRAVES FINANCIAL WEALTH MANAGEMENT | GRANITE WEALTH STRATEGIES | GOLD FAMILY WEALTH | GERTSEMA WEALTH ADVISORS | GERTSEMA WEALTH | GEIST FAMILY WEALTH | GAAM WEALTH ADVISORS, INC. | FORTIS FINANCIAL PARTNERS | FLP FINANCIAL | FLASHPOINT FINANCIAL SERVICES | FINANCIAL MANAGEMENT INC. | FINANCIAL INDEPENDENCE PLANNING, INC. | FINANCIAL IMPACT ADVISORS | FFR WEALTH TEAM | FCM FINANCIAL PLANNING | FCM FINANCIAL | FAMILY WEALTH MANAGEMENT GROUP | EQUITY PLANNING INC | EQUANIMITY WEALTH MANAGEMENT | ENTIRETY | DYNAMIC LEGACY PLANNING | DSF WEALTH MGMT | DSF WEALTH MANAGEMENT, LLC | DRIVEN WEALTH STRATEGIES | DORHOUT RETIREMENT SERVICES | DILLON WEALTH MANAGEMENT GROUP | DIAMOND WEALTH MANAGEMENT | DIAMOND WEALTH ADVISORS | DENVER CAPITAL GROUP | CWMG-WEST DES MOINES | CWMG - WALTHAM | CWMG - COLORADO SPRINGS | CWMG | CWM, LLC | CULTIVATE WEALTH, LLC | CRESCENT FINANCIAL ADVISORS | CORNERSTONE WEALTH MANAGEMENT GROUP | CORNERSTONE WEALTH ADVISORS | CONCIERGE WEALTH MANAGEMENT GROUP | COLLECTIVE ADVISORS | CODY FINANCIAL ADVISORS | CLEAR RESOURCE GROUP | CLARITY WEALTH | CHESSMAN WEALTH STRATEGIES | CARSON WEALTH-TRUE NORTH FINANCIAL | CARSON WEALTH-THE SHOBE FINANCIAL GROUP | CARSON WEALTH-FISHER FINANCIAL ADVISORS | CARSON WEALTH MANAGEMENT GROUP | CARSON WEALTH | CARSON PARTNERS | CARSON INSTITUTIONAL ALLIANCE (CIA) | CARSON INSTITUTIONAL | CARSON GROUP PARTNERS | CARSON GROUP HOLDINGS | CARSON GROUP | CARSON | CADWELL WEALTH | BUTTERWORTH FINANCIAL GROUP | BUCKLEY INVESTMENT GROUP, LLC | BUCKLEY | BRIDGES PRIVATE WEALTH | BOSTON RETIREMENT GROUP | BMY WEALTH MANAGEMENT GROUP | BMY WEALTH | BLUEPRINT WEALTH MANAGEMENT | BLOOM WEALTH ADVISORS | BENDER FINANCIAL | BARRINGTON WEALTH MANAGEMENT | BAIN WEALTH MANAGEMENT | AVERY WEALTH, INC. | ASSET ADVISORS, LLC | ASPIRE FINANCIAL PLANNING | ART OF WEALTH MANAGEMENT | ARS INVESTMENT ADVISORS, INC. | ARMSTRONG PURSELLEY WEATH MANAGEMENT GROUP | ARMSTRONG PURSELLEY WEALTH MANAGEMENT | APTUS WEALTH PLANNING | APTUS WEALTH MANAGEMENT GROUP | APPLIED FINANCIAL PLANNING | APPLIED FINANCIAL | ALLGOOD FINANCIAL ADVISORY | ALEXANDER LEGACY PRIVATE WEALTH | ALBRITTON FINANCIAL SERVICES | ADVANCED RETIREMENT STRATEGIES | ABUNDANT LIFE FINANCIAL | ABBS RETIREMENT PLANNING ADVISORS | ABARIS FINANCIAL GROUP, LLC | ABARIS FINANCIAL GROUP | AAM FINANCIAL PLANNING AND INVESTMENTS | 360° WEALTH ADVISOR...
CRD#: 155344 / SEC#: 801-72037
RIA
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Contact information
Main Address
14600 Branch St., Omaha, NE 68154
Mailing Address
Phone number
(402) 330-0808
Established
Firm type
Fiscal year end
# of Employees
1,314
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,944 |
| AUM (Assets Under Management) | $ 33,775,526,748 |
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.
Company Information
CWM, LLC
CRD#: 155344Monroe, LA 71201TRUST BUT VERIFY
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