James E. 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 Edward Smith, who also goes by James E Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2002. James had worked at 5 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2011 - June 6, 2014
QUESTAR ASSET MANAGEMENT, INC.
June 7, 2011 - June 6, 2014
QUESTAR CAPITAL CORPORATION
July 20, 2007 - June 7, 2011
WORKMAN SECURITIES CORPORATION
July 20, 2007 - June 7, 2011
WORKMAN SECURITIES CORPORATION
May 19, 2003 - July 20, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
August 15, 2002 - July 20, 2007
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 12, 2002 - August 14, 2002
SIGNATOR INVESTORS, 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
Current Firm
QUESTAR ASSET MANAGEMENT, INC.
CRD#: 133358 / SEC#: 801-63747
Contact information
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.
