Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Andrew Smith is a registered representative with Avantax Advisory Services. James has been in the financial services industry since 1993. James holds the Series 6, 7 and 63 securities licenses. James also has a Series 63 license in Texas and a Series 6 license in Iowa. James has been with Avantax Advisory Services since 1997. James is registered with the following states: Arizona, Arkansas, California, Colorado, Florida, Idaho, Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Ohio, Oregon, Texas, Utah, Wisconsin, and Wyoming. James is also registered with the FINRA.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
A percentage of the total value of assets under management is charged.
Solicitor fees
1
2
IA
02/01/2024 - Present
Avantax Advisory Services (IOWA CITY IA)
NA
05/18/1982 - 12/27/1983
N.I.S. FINANCIAL SERVICES, INC.
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1997
Series 7 - General Securities Representative Examination
BC
Issued 11/22/1994
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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