Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Adam Smith is a financial advisor with PNC Capital Markets LLC in Philadelphia, Pennsylvania. James has been in the financial services industry since January 2002. Previously, James was a financial advisor with Concourse Financial Group Securities, Inc. in Birmingham, Alabama. James is a Series 7, Series 24, Series 52, Series 53, Series 63 and SIE licensed professional.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
PA
02/08/2024 - Present
PNC Capital Markets LLC (PHILADELPHIA PA)
AL
04/16/2021 - 01/07/2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC. (BIRMINGHAM AL)
AL
05/16/2013 - 04/20/2021
BBVA SECURITIES INC. (BIRMINGHAM AL)
AL
07/14/2006 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (BIRMINGHAM AL)
AL
01/05/2004 - 07/21/2006
AMSOUTH INVESTMENT SERVICES, INC. (BIRMINGHAM AL)
AL
04/23/2002 - 01/06/2004
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
IN
02/04/2002 - 04/25/2002
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
02/04/2002 - 04/25/2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
AL
07/12/2000 - 01/29/2002
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
MA
12/09/1999 - 07/14/2000
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
12/09/1999 - 07/14/2000
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BC
Issued 12/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2024
Series 24 - General Securities Principal Examination
BC
Issued 01/29/2024
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/29/2024
Series 4 - Registered Options Principal Examination
BC
Issued 01/29/2024
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2000
Series 7 - General Securities Representative Examination
BC
Issued 12/08/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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