James P. Smith
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 Paxton Smith, who also goes by Pete Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1980. James had worked at 3 firms and has passed the Series 3, Series 18, Series 53, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 20, 1989 - March 6, 1995
CROWN FINANCIAL ASSOCIATES, INC.
November 11, 1983 - March 4, 1985
UBS FINANCIAL SERVICES INC.
November 9, 1983 - November 9, 1983
UBS FINANCIAL SERVICES INC.
December 8, 1980 - October 31, 1988
AMERICAN SECURITIES GROUP OF FLORIDA, INC.
March 20, 1980 - October 12, 1980
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 18
Date: 3/14/1980
Securities Industry Rules and Regulations ExaminationCurrent Firm
CROWN FINANCIAL ASSOCIATES, INC.
CRD#: 22172 / SEC#: , 8-39586
Contact information
Documents
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.
