James E. Smith

STRATEGIC ADVOCATES

Walnut Creek, CA

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CRD#: 801408

Professional summary

James Edward Smith, who also goes by James Edward Smith III, Jim Smith Jr, Jr Smith, is a registered financial advisor currently at STRATEGIC ADVOCATES, LLC located in Walnut Creek, California.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1974. James has worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Edward Smith Iii | Jim Smith Jr | Jr 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.

1.) Various Independent Insurance Agencies; Investment-Related; 500 Ygnacio Valley Road #150 Walnut Creek, CA; Independent Insurance Agent; Start Date: 10/1971; 10 hours devoted weekly; 0 hours devoted during trading hours; Insurance sales 2.) Strategic Advocates, LLC; Investment-Related; 255 S Main St. Logan, UT; LLC; RIA; Investment Adviser Representative; Start Date: 4/2023; 160 hours devoted monthly; 160 hours devoted monthly during trading hours; Managing client assets

Blog Corner

CRS (Client Relationship Summary) - RIA

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

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

April 25, 2023 - Present

STRATEGIC ADVOCATES, LLC

RIA

CRD#: 316858

Walnut Creek, CA

Past

April 21, 2023 - January 19, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

SACRAMENTO, CA

Past

June 2, 2010 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

WALNUT CREEK, CA

Past

June 1, 2010 - April 26, 2023

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

WALNUT CREEK, CA

Past

February 3, 2009 - June 7, 2010

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

WALNUT CREEK, CA

Past

February 2, 2009 - June 7, 2010

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

WALNUT CREEK, CA

Past

June 4, 2003 - February 3, 2009

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

WALNUT CREEK, CA

Past

June 4, 2003 - February 3, 2009

FSC SECURITIES CORPORATION

CRD#: 7461

WALNUT CREEK, CA

Past

July 11, 2001 - June 20, 2003

WALNUT STREET ADVISERS INC

RIA

CRD#: 109903

WALNUT CREEK, CA

Past

May 23, 2001 - May 28, 2003

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 7, 1999 - May 21, 2001

AMERICAN INVESTORS COMPANY

CRD#: 38

SAN RAMON, CA

Past

July 21, 1998 - May 7, 1999

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 8, 1985 - October 10, 1986

O. R. SECURITIES, INC.

CRD#: 10216

Past

January 29, 1985 - October 8, 1985

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

April 11, 1983 - December 27, 1984

WZW FINANCIAL SERVICES, INC.

CRD#: 5717

Past

March 3, 1983 - March 23, 1983

PLANNED INVESTMENTS INC.

CRD#: 5066

Past

March 3, 1983 - July 7, 1998

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

September 25, 1975 - October 19, 1992

HOME LIFE INSURANCE COMPANY

CRD#: 4184

Past

December 2, 1974 - February 1, 1975

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STRATEGIC ADVOCATES, LLC

CRD#: 316858 / SEC#: 801-126262

RIA

Registered Investment Advisory firm - (7/29/2022 Approved)

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

California
(4/25/2023)

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: 2/26/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/13/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 11/23/1974

Registered Representative Examination

Current Firm

STRATEGIC ADVOCATES, LLC

CRD#: 316858 / SEC#: 801-126262

RIA

Registered Investment Advisory firm - (7/29/2022 Approved)

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Contact information

Main Address

255 S Main St Ste 140, Logan, UT 84321

Mailing Address

500 N Street Suite 30, Sacramento, CA 95814

Phone number

(888) 247-7753

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (28 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGIC ADVOCATES 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	2,622
AUM (Assets Under Management)	$ 433,835,344

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 E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WALNUT STREET ADVISERS INC

WALNUT STREET SECURITIES, INC.

AMERICAN INVESTORS COMPANY

OSAIC FS, INC.

O. R. SECURITIES, INC.

WZW FINANCIAL SERVICES, INC.

WZW FINANCIAL SERVICES, INC.

PLANNED INVESTMENTS INC.

WS GRIFFITH SECURITIES, INC.

HOME LIFE INSURANCE COMPANY

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

STRATEGIC ADVOCATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/1999

Series 63

Date: 10/13/1988

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 11/23/1974

Current Firm

STRATEGIC ADVOCATES, LLC

Contact information

SEC notice filing (28 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGIC ADVOCATES, LLC

TRUST BUT VERIFY

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