James P. Smith

SIGNALUP WEALTH

FAYETTEVILLE, AR 72701

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CRD#: 5867918

Professional summary

James Preston Smith, who also goes by Preston Smith, is a registered financial advisor currently at SIGNALUP WEALTH, LLC located in Fayetteville, Arkansas.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. James has worked at 8 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Preston 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.

Oooweee, LLC; The entity owns commercial real estate; Partner; 2014; 0 hours/month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Preston 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

January 22, 2025 - Present

SIGNALUP WEALTH, LLC

Office #1: 70 N College Ave, Fayetteville, AR 72701

RIA

CRD#: 332588

FAYETTEVILLE, AR

Past

January 13, 2025 - January 21, 2025

FARTHER

RIA

CRD#: 302050

Fayettville, AR

Past

May 17, 2019 - January 7, 2025

SIGNALPOINT ASSET MANAGEMENT LLC

RIA

CRD#: 147578

Fayetteville, AR

Past

June 22, 2018 - May 29, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Fayetteville, AR

Past

June 22, 2018 - May 29, 2019

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Fayetteville, AR

Past

January 12, 2015 - September 25, 2018

INVESTMENT PROFESSIONALS, INC.

RIA

CRD#: 30184

Fayetteville, AR

Past

January 12, 2015 - September 25, 2018

INVESTMENT PROFESSIONALS, INC.

CRD#: 30184

Fayetteville, AR

Past

January 21, 2014 - March 6, 2015

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LITTLE ROCK, AR

Past

April 29, 2013 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA

CRD#: 15340

LITTLE ROCK, AR

Past

February 19, 2013 - March 6, 2015

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

LITTLE ROCK, AR

Past

March 3, 2011 - February 4, 2013

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

LITTLE ROCK, AR

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

Arkansas
(1/22/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/24/2024

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/27/2013

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/23/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/2/2011

Investment Company Products/Variable Contracts Representative Examination

Current Firm

SIGNALUP WEALTH, LLC

CRD#: 332588 / SEC#:

Arkansas

Registered Investment Advisory firm - (1/22/2025 Approved)

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Contact information

Main Address

70 N College Ave, Fayetteville, AR 72701

Mailing Address

Phone number

(501) 258-8390

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

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Advisor Monitoring

Firm Stability Insights

James P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

FARTHER

SIGNALPOINT ASSET MANAGEMENT LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

INVESTMENT PROFESSIONALS, INC.

INVESTMENT PROFESSIONALS, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

CETERA INVESTMENT SERVICES LLC

ESSEX NATIONAL SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/24/2024

Series 66

Date: 4/27/2013

Series 63

Date: 6/23/2011

SIE

Date: 10/1/2018

Series 7

Date: 4/12/2012

Series 6

Date: 3/2/2011

Current Firm

SIGNALUP WEALTH, LLC

Contact information

Documents

Red Flags

Company Information

SIGNALUP WEALTH, LLC

TRUST BUT VERIFY

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