Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Matthew Smith is a financial advisor who has been active in the industry since November 29, 2015. James is currently registered with Avantax Advisory Services and has been with them since December 11, 2019. James is also registered with the state of Hawaii. Prior to joining Avantax, James was affiliated with CETERA ADVISOR NETWORKS LLC, SUMMIT BROKERAGE SERVICES, INC. and HD VEST INVESTMENT SERVICES. James holds the Series 6, Series 63, Series 65 and SIE licenses. James specializes in offering financial planning, portfolio management for individuals and businesses, pension consulting, educational seminars and selection of other advisors.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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
1
2
HI
12/11/2019 - Present
Avantax Advisory Services (Honolulu HI)
HI
09/20/2019 - 12/23/2019
CETERA ADVISOR NETWORKS LLC (HONOLULU HI)
HI
05/30/2018 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (HONOLULU HI)
HI
11/30/2015 - 06/08/2018
HD VEST INVESTMENT SERVICES (Honolulu HI)
IA
Issued 06/16/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/21/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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