Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Henry Smith is an investment advisor representative with CWM, LLC and has been in the industry since 2007. James has previously worked at LPL Financial LLC, Raymond James & Associates, Inc. and Morgan Keegan & Company, Inc. James is licensed to provide investment advice in Louisiana. James's current employer is CWM, LLC, which is an investment advisor firm with offices in Omaha, NE and Monroe, LA. The firm provides a variety of services to individuals, corporations, and other clients. They have assets under management of over $26 billion. The firm's client base includes high-net-worth individuals, pension and profit-sharing plans, corporations, and individuals other than high-net-worth individuals.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Sub-advisory services for other investment advisory firms
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.
Solicitor fees from other investment advisors
1
2
NE
05/24/2023 - Present
CWM, LLC (OMAHA NE)
LA
06/15/2016 - 06/12/2023
LPL FINANCIAL LLC (MONROE LA)
LA
02/13/2013 - 06/24/2016
RAYMOND JAMES & ASSOCIATES, INC. (MONROE LA)
LA
05/07/2007 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (MONROE LA)
BOTH
Issued 06/13/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
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