Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Jerome Smith is an investment advisor representative with Cetera Investment Advisers LLC. James has been in the financial services industry since 1978. James is registered with the state of Kentucky as an Investment Advisor Representative. James has previously worked for VOYA FINANCIAL ADVISORS, INC. and LPL FINANCIAL LLC. James specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and charitable organizations.
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.
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.
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2
KY
06/29/2023 - Present
Cetera Investment Advisers LLC (Louisville KY)
KY
09/28/2015 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (Louisville KY)
KY
02/07/1994 - 10/06/2015
LPL FINANCIAL LLC (LOUISVILLE KY)
NY
06/01/1978 - 02/16/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/10/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/6/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/31/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/7/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 5/20/1978
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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