Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Alexander Smith is a financial advisor with over 10 years of experience in the industry. James is currently registered with LPL Financial LLC in Arlington, VA. James has held previous roles with Madison Avenue Securities, LLC, RBC Capital Markets, LLC and Robert W. Baird & Co. Incorporated. James has a wide range of experience in providing financial planning, portfolio management and other advisory services for individuals, businesses, and charitable organizations. James is a CERTIFIED FINANCIAL PLANNER™ 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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VA
04/09/2020 - Present
LPL Financial LLC (ARLINGTON VA)
VA
02/25/2019 - 02/28/2020
MADISON AVENUE SECURITIES, LLC (Alexandria VA)
MD
07/09/2015 - 09/10/2015
RBC CAPITAL MARKETS, LLC (EASTON MD)
VA
04/20/2015 - 05/19/2015
ROBERT W. BAIRD & CO. INCORPORATED (RESTON VA)
VA
09/08/2010 - 05/15/2015
RBC CAPITAL MARKETS, LLC (MCLEAN VA)
BC
Issued 06/12/2019
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 11/11/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/25/2019
Series 7TO - General Securities Representative Examination
BC
Issued 09/10/2015
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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