James Spencer Smith
Professional Summary
James Spencer Smith, who also goes by Jay Smith, is a registered financial advisor currently at TCBI SECURITIES, INC. located in Dallas, Texas. James is registered as a RR (Registered Representative) and started their career in finance in 2023. James has worked at 1 firm and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Spencer Smith, Jay Smith
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Disclosures on record.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Current Firm
TCBI SECURITIES | TEXAS CAPITAL SECURITIES | TCBI SECURITIES, INC.
Contact Information
Main Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Mailing Address
2000 Mckinney Avenue Suite 700, Dallas, TX 75201Phone Number
(214) 932-6671Established
Texas since 03/03/2021Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEXAS CAPITAL BANCSHARES, INC. | OWNER | — |
| ALVARADO, ANNA MARIA | DIRECTOR | 4433966 |
| COLPITTS, JOEL BRIAN | PRINCIPAL FINANCIAL OFFICER AND FIN/OP | 2376942 |
| CUMMINGS, JOHN WILLIAM | DIRECTOR | 2729018 |
| GENYK, STEVEN | MUNICIPAL SECURITIES PRINCIPAL | 2324120 |
| GETTY, JOSEPH MATTHEW | AMLCO | 6343874 |
| HOLMES, ROBERT C | DIRECTOR | 2948416 |
| HOVERMAN, DANIEL STEPHENS | DIRECTOR, PRESIDENT | 5281289 |
| RIVERA, JASON | CHIEF COMPLIANCE OFFICER | 5010925 |
| SCURLOCK, JOHN MATTHEW | DIRECTOR | 7521986 |
| YOUNGBERG, DAVID ALLEN | DIRECTOR | 3108225 |
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
State Registrations and Notice Filings
(5/19/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Apr 2023About the Series 79TO examSRO Registrations
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRS (Client Relationship Summary) - BD
Click below to view James Spencer Smith's CRS (Customer Relationship Summary).
Similar Advisors
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
ORION WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC