Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames D. Smith is a registered representative with Hilltop Securities Inc. in Dallas, TX. James has been in the securities industry since 1995. James is a licensed agent with a Series 7, 63, 55, 99TO, 57TO, and SIE. James is also a registered principal with a Series 27. James has previously worked with Hilltop Securities Inc. and Brokers Transaction Services, Inc.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
12b-1 fees
1
2
TX
11/08/2021 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
10/31/1996 - 12/24/2019
HILLTOP SECURITIES INC. (DALLAS TX)
TX
10/25/1995 - 10/31/1996
BROKERS TRANSACTION SERVICES, INC. (DALLAS TX)
IA
Issued 04/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2022
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/19/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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