James A. Smith
Professional summary
James Adam Smith, who also goes by James Smith, Adam Smith, James Adam Smith, is a registered financial professional currently at PNC CAPITAL MARKETS LLC located in Philadelphia, Pennsylvania.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 9 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 7, Series 6, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Adam Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 8, 2024 - Present
PNC CAPITAL MARKETS LLC
Office #1: 1600 Market St 21st Floor, Philadelphia, PA 19103April 16, 2021 - January 7, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 16, 2013 - April 20, 2021
BBVA SECURITIES INC.
July 14, 2006 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
January 5, 2004 - July 21, 2006
AMSOUTH INVESTMENT SERVICES, INC.
April 23, 2002 - January 6, 2004
BBVA COMPASS INVESTMENT SOLUTIONS, INC
February 4, 2002 - April 25, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 4, 2002 - April 25, 2002
OSAIC FA, INC.
July 12, 2000 - January 29, 2002
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 9, 1999 - July 14, 2000
METROPOLITAN LIFE INSURANCE COMPANY
December 9, 1999 - July 14, 2000
MSI FINANCIAL SERVICES, INC.
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
Series 7TO
Date: 1/29/2024
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
PNC CAPITAL MARKETS LLC
CRD#: 15647 / SEC#: , 8-32493
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC HOLDING, LLC. | PARENT | |
| BEGLEY, TERENCE PATRICK | BOARD MEMBER | 4718949 |
| BERNIER, JAMES STEVENS | CHIEF EXECUTIVE OFFICER | 2849222 |
| CESARIO, CONNIE KOZLOFF | BOARD MEMBER | 4251140 |
| DERESPIRIS, BRIAN G | PRESIDENT, COO | 5399266 |
| MCNELIS, BRIAN PATRICK | BOARD MEMBER | 4886370 |
| MILLER, JOHN R | TREASURER AND FINOP | 6933635 |
| MILLER, JOHN R | PRINCIPAL FINANCIAL OFFICER | 6933635 |
| PUMPHREY, MARY PATRICIA | CHIEF RISK OFFICER | 2513345 |
| PUMPHREY, MARY PATRICIA | CHIEF COMPLIANCE OFFICER | 2513345 |
| THOMAS, MICHAEL | CHAIRMAN | 2992653 |
| TOBUN, ABI | BOARD MEMBER | 4878954 |
| WILLIAMS, TROY MATTHEW | PRINCIPAL OPERATIONS OFFICER | 7763919 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
Red Flags
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