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JS

James A. Smith

MISSION WEALTH MANAGEMENT, LP
Washington, DC
Some features on this profile are disabled
CRD#: 5758883
JS

Professional summary

James Alexander Smith, CFP®, who also goes by Jay Smith, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Washington, District Of Columbia.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. James has worked at 6 firms and has passed the Series 63, Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jay 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) - RIA

Click below to view James Alexander 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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Current

December 18, 2025 - Present

MISSION WEALTH MANAGEMENT, LP

RIA
CRD#: 113057
Washington, DC
Past

April 9, 2020 - October 29, 2025

LPL FINANCIAL LLC

RIA
CRD#: 6413
ALEXANDRIA, VA
Past

April 9, 2020 - October 29, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
ALEXANDRIA, VA
Past

March 21, 2019 - February 28, 2020

CAMPBELL WEALTH MANAGEMENT, INC.

RIA
CRD#: 152956
ALEXANDRIA, VA
Past

February 25, 2019 - February 28, 2020

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
Alexandria, VA
Past

July 9, 2015 - September 10, 2015

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
EASTON, MD
Past

July 9, 2015 - September 10, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
EASTON, MD
Past

April 20, 2015 - May 19, 2015

ROBERT W. BAIRD & CO. INCORPORATED

RIA
CRD#: 8158
RESTON, VA
Past

April 20, 2015 - May 19, 2015

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
RESTON, VA
Past

November 15, 2010 - May 15, 2015

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
MCLEAN, VA
Past

September 8, 2010 - May 15, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
MCLEAN, VA

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".
MW
MISSION WEALTH MANAGEMENT, LP
MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA
Registered Investment Advisory firm - (6/7/2002 Approved)
California
Registered Investment Advisory firm - (6/14/2002 Terminated)

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
District of Columbia
(12/18/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/12/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/11/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/25/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/7/2010
General Securities Representative Examination

Current Firm

MW
MISSION WEALTH MANAGEMENT, LP
MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA
Registered Investment Advisory firm - (6/7/2002 Approved)
California
Registered Investment Advisory firm - (6/14/2002 Terminated)
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Contact information

Main Address
1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101
Mailing Address
Phone number
(805) 882-2360
Established
Firm type
Fiscal year end
# of Employees
184

SEC notice filing (43 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (3/19/2026)

Regulatory assets under management

Total Number of Accounts16,573
AUM (Assets Under Management)$ 13,912,131,150

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

MISSION WEALTH MANAGEMENT, LP

CRD#: 113057Washington, DC

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