James W. 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 William Smith, who also goes by James W Smith, Jim W Smith, Jim 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 2 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 1988 - April 7, 1990
MARQUETTE FINANCIAL GROUP, INC.
May 20, 1980 - November 7, 1988
N.I.S. 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 1
Date: 5/10/1980
Registered Representative ExaminationCurrent Firm
MARQUETTE FINANCIAL GROUP, INC.
CRD#: 345 / SEC#: , 8-44143
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
