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JS

James B. Smith

BA SECURITIES
W. Conshohocken, PA 19428
Some features on this profile are disabled
CRD#: 4445632
JS

Professional summary

James Bakley Smith, who also goes by J. Bakley Smith, is a registered financial professional currently at BA SECURITIES, LLC located in W. Conshohocken, Pennsylvania.

James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 6 firms and has passed the Series 63, SIE, Series 79, Series 82, Series 6, Series 87, Series 86 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

J. Bakley 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Bakley Smith's CRS (Customer Relationship Summary).
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

January 4, 2023 - Present

BA SECURITIES, LLC

Office #1: Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428Office #2: 139 Fulton Street, Suite 130-c, New York, NY 10038
BD
CRD#: 153489
W. Conshohocken, PA
Past

May 15, 2019 - December 31, 2022

DALMORE GROUP LLC

BD
CRD#: 136352
New York, NY
Past

October 5, 2017 - May 3, 2019

STILLPOINT CAPITAL, LLC

BD
CRD#: 133146
TAMPA, FL
Past

March 30, 2016 - August 10, 2017

PFS INVESTMENTS INC.

BD
CRD#: 10111
TUCSON, AZ
Past

June 2, 2008 - August 24, 2010

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

October 11, 2005 - May 22, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 20, 2001 - February 23, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/4/2023)
RR
Colorado
(1/4/2023)
RR
Florida
(7/18/2023)
RR
New York
(1/4/2023)
RR
Pennsylvania
(7/25/2023)
RR
Texas
(1/4/2023)
RR
Utah
(1/4/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 1/30/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 82
Date: 11/27/2017
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 6
Date: 3/30/2016
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 87
Date: 1/31/2006
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 1/23/2006
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 11/19/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

BS
BA SECURITIES, LLC
BA SECURITIES, LLC | BLACKWOLF ADVISORS, LLC | BLACKWOLF ADVISORS

CRD#: 153489 / SEC#: , 8-68545

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Mailing Address
Four Tower Bridge 200 Barr Harbor Drive, Suite 400, W. Conshohocken, PA 19428
Phone number
(877) 738-5841
Established
Pennsylvania since 01/25/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BA HOLDCO, LLCOWNER
BOLDEN, MICHAEL LABRADORCHIEF COMPLIANCE OFFICER6411755
CHUFF, JOHN JOSEPHPRESIDENT1205736
HATLING, PEDER ALANPRINCIPAL5240595
JUILIANO, COLLEEN JANEFINOP4818898
KELLER-YOUNG, SUZANNEOPERATIONS MANAGER5495492
PICKENS, DANIEL NEHILPRINCIPAL1042225
WENTZLER, DENNIS RAYMONDCHIEF OPERATIONS OFFICER & AML OFFICER4221461

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

BA SECURITIES, LLC

CRD#: 153489W. Conshohocken, PA 19428

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