James A. Smith
Professional summary
James Albert Smith, who also goes by James A Smith, is a registered financial professional currently at REALTA EQUITIES, INC. located in Wilmington, Delaware.
James is registered as a RR (Registered Representative) and started their career in finance in 2018. James has worked at 3 firms and has passed the Series 63, Series 62, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Albert Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 25, 2022 - Present
REALTA EQUITIES, INC.
Office #1: 1201 N. Orange Street Suite 729, Wilmington, DE 19801February 24, 2020 - January 21, 2022
ARKADIOS CAPITAL
March 6, 2018 - February 21, 2020
INDEPENDENT FINANCIAL GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/25/2022)
(3/28/2022)
(3/28/2022)
(3/25/2022)
(5/12/2022)
(3/29/2022)
(3/25/2022)
(3/28/2022)
(7/7/2022)
(3/25/2022)
(3/25/2022)
(2/14/2024)
(3/30/2022)
(3/25/2022)
(3/28/2022)
Exams
Series 62
Date: 11/1/2018
Corporate Securities Limited Representative ExaminationFINRA
Current Firm
REALTA EQUITIES, INC.
CRD#: 23769 / SEC#: , 8-40822
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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Company Information
REALTA EQUITIES, INC.
CRD#: 23769Wilmington, DE 19801TRUST BUT VERIFY
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