James S. Agnew
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 Sullivan Agnew, who also goes by Jim Agnew, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2009. James had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2009 - January 22, 2021
SMITH SALLEY WEALTH MANAGEMENT
Primary Firm SEC Registration
SMITH SALLEY WEALTH MANAGEMENT
CRD#: 129614 / SEC#: 801-62538
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
SMITH SALLEY WEALTH MANAGEMENT
CRD#: 129614 / SEC#: 801-62538
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,791 |
| AUM (Assets Under Management) | $ 2,344,187,985 |
Red Flags
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