James W. West

FISHER\SMB

PLANO, TX 75093

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CRD#: 4255041

Professional summary

James Warren West is a registered financial advisor currently at FISHER\SMB located in Plano, Texas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. James has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 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 Warren West'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®

None

Experience

Current

July 11, 2024 - Present

FISHER\SMB

Office #1: 6404 International Parkway Suite 1100, Plano, TX 75093

RIA

CRD#: 331205

PLANO, TX

Past

November 7, 2022 - July 3, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

PLANO, TX

Past

November 11, 2013 - October 24, 2022

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, TX

Past

December 11, 2000 - October 24, 2022

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, TX

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".

FISHER\SMB

FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA

Registered Investment Advisory firm - (5/31/2024 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

Texas
(7/11/2024)

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

IAR

Series 66

Date: 11/11/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/22/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/8/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 2/25/2004

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/16/2004

General Securities Sales Supervisor - Options Module Examination

Current Firm

FISHER\SMB

FISHER RETIREMENT SOLUTIONS LLC | FISHER\SMB

CRD#: 331205 / SEC#: 801-130272

RIA

Registered Investment Advisory firm - (5/31/2024 Approved)

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Contact information

Main Address

6404 International Parkway Suite 1100, Plano, TX 75093

Mailing Address

Phone number

(888) 674-4504

Established

Firm type

Fiscal year end

# of Employees

133

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ADV PART 2A (6/20/2025)

Regulatory assets under management

Total Number of Accounts	1,768
AUM (Assets Under Management)	$ 5,461,349,416

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.

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Advisor Monitoring

Firm Stability Insights

James W. West

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Warren West's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

FISHER\SMB

State Registrations and Notice Filings

Exams

Series 66

Date: 11/11/2013

Series 63

Date: 12/22/2000

SIE

Date: 10/1/2018

Series 7

Date: 12/8/2000

Series 10

Date: 2/25/2004

Series 9

Date: 1/16/2004

Current Firm

FISHER\SMB

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FISHER\SMB

TRUST BUT VERIFY

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