Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Byron Smith is a financial advisor with over 20 years of experience in the industry. James currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. James is registered with the state of Illinois as an investment advisor representative.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
IL
02/26/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OAK BROOK IL)
AZ
01/31/1997 - 08/22/1997
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
GA
09/05/1995 - 01/31/1997
KEOGLER, MORGAN & COMPANY, INC. (ATLANTA GA)
IA
Issued 11/21/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/01/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/19/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/07/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/22/2013
Series 3 - National Commodity Futures Examination
BC
Issued 02/10/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 09/01/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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