Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Michael Smith is a financial advisor with over 20 years of experience in the financial services industry. James is currently registered with LPL Financial LLC and is licensed to provide financial advice in Florida, Kentucky, New York, and Ohio. James has a strong background in investment management, financial planning, and retirement planning.
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.
Consulting and other non-discretionary advisory services
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.
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KY
02/12/2024 - Present
LPL Financial LLC (DRY RIDGE KY)
KY
09/20/2019 - 01/05/2024
EDWARD JONES (Dry Ridge KY)
OH
03/10/2017 - 12/06/2018
PNC INVESTMENTS (CINCINNATI OH)
KY
09/21/2000 - 04/04/2016
FIDELITY BROKERAGE SERVICES LLC (COVINGTON KY)
BOTH
Issued 02/04/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/11/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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