Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames B. Smith is a financial advisor with LPL Financial LLC, working out of their Mount Laurel, NJ office. James has been in the financial industry for over 10 years, with experience at Morgan Stanley and Merrill Lynch. James is a registered representative in multiple states, holds a Series 7 and Series 66 license, and has a strong track record of providing personalized financial advice to clients. James specializes in helping individuals and families plan for their financial future, including retirement planning, investment management, and estate planning.
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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2
NJ
02/06/2024 - Present
LPL Financial LLC (MOUNT LAUREL NJ)
NJ
02/19/2014 - 02/16/2024
MORGAN STANLEY (Red Bank NJ)
NJ
04/08/2013 - 06/18/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SUMMIT NJ)
BOTH
Issued 09/19/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/05/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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