Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Leon Smith is an Investment Advisor Representative with Raymond James Financial Services Advisors, Inc.. James Smith has been in the securities industry for over 30 years. James Smith has a wide range of experience, having worked with firms such as Wells Fargo Advisors Financial Network, LLC and Wells Fargo Advisors, LLC. James Smith is a registered Investment Advisor Representative in Colorado and Texas. He has earned the Series 7, Series 63, Series 65, and Series 24 licenses. James Smith specializes in offering services such as financial planning, pension consulting, and portfolio management for individuals and businesses.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CO
06/20/2018 - Present
Raymond James Financial Services Advisors, Inc. (GREENWOOD VILLAGE CO)
CO
06/10/2016 - 05/29/2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (GREENWOOD VILLAGE CO)
CO
04/12/1993 - 06/10/2016
WELLS FARGO ADVISORS, LLC (GREENWOOD VILLAGE CO)
CA
04/06/1992 - 04/15/1993
SMITH, BENTON & HUGHES, INC. (LOS ANGELES CA)
NY
02/02/1990 - 09/21/1990
VENTURE TRADING, INC. (NEW YORK NY)
NA
01/24/1989 - 03/16/1989
SPRUNG & WISE SECURITIES, INC.
IA
Issued 12/11/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/27/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Smith is the right advisor for you? Invested Better is here to help.
