Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Bakley Smith is a financial professional with over 14 years of experience in the securities industry. James is currently registered with BA Securities, LLC, a firm that provides a range of financial services. James's career has taken him to firms such as DALMORE GROUP LLC, STILLPOINT CAPITAL, LLC, and PFS INVESTMENTS INC. James has a diverse range of experience, having worked in various roles across the industry. James is licensed to offer securities in numerous states, including California, Colorado, District of Columbia, Florida, Georgia, New Mexico, New York, Pennsylvania, Texas, and Utah.
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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2
PA
01/04/2023 - Present
BA Securities, LLC (W. CONSHOHOCKEN PA)
NY
05/15/2019 - 12/31/2022
DALMORE GROUP LLC (New York NY)
FL
10/05/2017 - 05/03/2019
STILLPOINT CAPITAL, LLC (TAMPA FL)
AZ
03/30/2016 - 08/10/2017
PFS INVESTMENTS INC. (TUCSON AZ)
NY
06/02/2008 - 08/24/2010
JEFFERIES & COMPANY, INC. (NEW YORK NY)
NY
10/11/2005 - 05/22/2008
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
11/20/2001 - 02/23/2004
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 05/06/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 11/27/2017
Series 82 - Limited Representative-Private Securities Offerings
BC
Issued 03/30/2016
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/31/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/23/2006
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 11/19/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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