James K. 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 Kevin Smith, who also goes by J Kevin Smith, Kevin J Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 26 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2003 - November 2, 2016
ADP BROKER-DEALER, INC.
January 28, 2003 - October 9, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
January 28, 2003 - October 9, 2003
UVEST FINANCIAL SERVICES GROUP, INC.
August 29, 2002 - February 10, 2003
QUICK & REILLY, INC.
May 24, 2001 - February 10, 2003
QUICK & REILLY, INC.
November 9, 2000 - March 26, 2001
QUICK & REILLY, INC.
January 21, 1999 - August 18, 1999
WADDELL & REED
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
ADP BROKER-DEALER, INC.
CRD#: 37693 / SEC#: , 8-47885
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADP ATLANTIC, LLC | SHAREHOLDER | |
| BARRENECHEA, PATRICIA MARGOT | FINOP | 1715189 |
| BLAKE, JAMES PATRICK | PRESIDENT, DIRECTOR | 3078844 |
| BOYLE, JAMES RICHARD | AML OFFICER | 3137180 |
| DOSPASSOS-KRIEG, KRISTIN ANNE | DIRECTOR | 3079254 |
| HANLEY, JUANITA DAVIDA | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT | 5217439 |
| HODGES, JEFFRY AARON | DIRECTOR | 5865575 |
| HUREAU, MICHAEL RAY | DIRECTOR | 5990787 |
| MCCUE, TERRANCE | RISK MANAGEMENT OFFICER | 7259942 |
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.
