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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Anthony Smith is a registered investment advisor representative with Cetera Investment Advisers LLC, a financial services firm. James has been working in the financial industry since January 3, 2015. James is registered in Tennessee, Florida, New Jersey, and South Carolina. He has a Series 6, 7, 63, and 66 licenses and is also a licensed investment advisor representative. James specializes in providing financial advice to individuals, corporations, charitable organizations, and pension plans.
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.
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.
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2
TN
07/11/2018 - Present
Cetera Investment Advisers LLC (NASHVILLE TN)
TN
12/22/2014 - 08/26/2015
U.S. BANCORP INVESTMENTS, INC. (BRENTWOOD TN)
BOTH
Issued 6/28/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 4/13/2016
Series 7 - General Securities Representative Examination
BC
Issued 12/22/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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