Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Albert Smith is a financial advisor with over 5 years of experience in the industry. James currently works for Realta Equities, Inc. and is registered in 15 states. James has passed a variety of securities exams and has a diverse background in the financial services industry. James's previous employers include ARKADIOS CAPITAL and INDEPENDENT FINANCIAL GROUP, LLC. James's focus areas include Corporate Securities, Securities Industry Essentials, Investment Company Products/Variable Contracts, and Direct Participation Programs.
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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CA
03/25/2022 - Present
Realta Equities, Inc. (San Diego CA)
NY
02/24/2020 - 01/21/2022
ARKADIOS CAPITAL (Lewiston NY)
NY
03/06/2018 - 02/21/2020
INDEPENDENT FINANCIAL GROUP, LLC (Lewiston NY)
BC
Issued 03/30/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/2018
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 03/06/2018
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
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