Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Marshall Smith is a securities professional with over 10 years of experience in the financial services industry. James currently holds a Series 7, Series 79, and Series 63 license and has a SIE designation. James is registered with Capital ONE Securities, Inc. and has previously held positions at BB&T SECURITIES, LLC, SUNTRUST ROBINSON HUMPHREY, INC. and BANC OF AMERICA SECURITIES LLC.
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.
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.
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2
NY
11/19/2019 - Present
Capital ONE Securities, Inc. (New York NY)
VA
08/21/2019 - 10/24/2019
BB&T SECURITIES, LLC (RICHMOND VA)
GA
02/26/2013 - 07/21/2015
SUNTRUST ROBINSON HUMPHREY, INC. (ATLANTA GA)
GA
12/10/2008 - 01/08/2009
SUNTRUST ROBINSON HUMPHREY, INC. (ATLANTA GA)
NC
08/16/2005 - 11/28/2007
BANC OF AMERICA SECURITIES LLC (CHARLOTTE NC)
BC
Issued 03/16/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/10/2014
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 02/25/2013
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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