James D. 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 David Smith, who also goes by Jim Smith, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1976. James had worked at 5 firms and has passed the Series 63, SIE 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
August 7, 2015 - December 31, 2016
WEALTH MANAGEMENT ASSOCIATES, INC.
September 5, 2003 - August 28, 2015
SECURITIES AMERICA ADVISORS, INC.
August 1, 2003 - December 23, 2016
SECURITIES AMERICA, INC.
December 1, 1987 - August 1, 2003
FSC SECURITIES CORPORATION
December 1, 1976 - December 19, 1987
LINCOLN FINANCIAL DISTRIBUTORS, INC.
Primary Firm SEC Registration
WEALTH MANAGEMENT ASSOCIATES, INC.
CRD#: 117606 / SEC#: 801-79993
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: 11/22/1976
Registered Representative ExaminationCurrent Firm
WEALTH MANAGEMENT ASSOCIATES, INC.
CRD#: 117606 / SEC#: 801-79993
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,972 |
| AUM (Assets Under Management) | $ 646,804,888 |
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.
