James M. Smith

CAPITAL ONE SECURITIES

New York, NY 10171

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CRD#: 4990011

Professional summary

James Marshall Smith, who also goes by Marshall Smith, is a registered financial professional currently at CAPITAL ONE SECURITIES, INC. located in New York, New York.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marshall 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 Marshall Smith'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

November 19, 2019 - Present

CAPITAL ONE SECURITIES, INC.

Office #1: 299 Park Avenue 28th Floor, New York, NY 10171

CRD#: 44158

New York, NY

Past

August 21, 2019 - October 24, 2019

BB&T SECURITIES, LLC

CRD#: 142785

RICHMOND, VA

Past

February 26, 2013 - July 21, 2015

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

December 10, 2008 - January 8, 2009

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

August 16, 2005 - November 28, 2007

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHARLOTTE, NC

State Registrations and Notice Filings

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

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

California
(1/10/2023)

Connecticut
(2/14/2020)

Florida
(11/26/2019)

Illinois
(3/31/2020)

Louisiana
(11/25/2019)

Maryland
(11/20/2019)

Massachusetts
(3/17/2020)

New York
(3/17/2020)

Pennsylvania
(3/17/2020)

Texas
(3/17/2020)

Virginia
(3/16/2020)

Exams

State Security Law Exam

Series 63

Date: 3/16/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 1/10/2014

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 2/25/2013

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL ONE SECURITIES, INC.

CAPITAL ONE SECURITIES, INC. | SOUTHCOAST CAPITAL L.L.C. | HIBERNIA SOUTHCOAST CAPITAL, INC. | CAPITAL ONE SOUTHCOAST, INC | CAPITAL ONE SOUTHCOAST

CRD#: 44158 / SEC#: , 8-50561

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Mailing Address

201 St. Charles Avenue Suite 1830, New Orleans, LA 70170

Phone number

(504) 533-7377

Established

Louisiana since 04/01/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CAPITAL ONE FINANCIAL CORPORATION	100% SHAREHOLDER
GIBNEY, JOSEPH DONOUGH	DIRECTOR	3117394
HALPRIN, GABRIELLE BAILLEUX	CHIEF FINANCIAL OPERATIONS OFFICER (FINOP)	5087341
JOHNSON, RUSSELL ALAN	DIRECTOR	2785704
KUCERA, DAVID JOHN	DIRECTOR	2598213
MULLIGAN, ROBERT	CHIEF COMPLIANCE OFFICER	1584973
NAKAMURA, SEIJI PETER	DIRECTOR	2561992
PORPHY, JEFFREY R	DIRECTOR	4107535
TULIP, STEVEN ANDREW	PRESIDENT AND DIRECTOR	2540149

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

James M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

BB&T SECURITIES, LLC

TRUIST SECURITIES, INC.

TRUIST SECURITIES, INC.

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/16/2020

SIE

Date: 1/2/2023

Series 79

Date: 1/10/2014

Series 7

Date: 2/25/2013

FINRA

Current Firm

CAPITAL ONE SECURITIES, INC.

Contact information

FINRA licenses (12 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CAPITAL ONE SECURITIES, INC.

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