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 Avantax Advisory Services. James has been in the financial industry since March 2023. James is registered to provide investment advice in Iowa and North Carolina. James is also registered with FINRA and is a Registered Representative in North Carolina. James holds the Series 63, Series 65, Series 7TO, and SIE licenses. In addition to his work with Avantax Advisory Services, James is also a Certified Public Accountant for Brendle Crouse, P.A., and a Wealth Management Advisor for Brendle Financial Group. James is also a Wealth Management Advisor for Avantax Insurance Agency and/or Avantax Insurance Services. James specializes in financial planning, pension consulting, educational seminars, 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.
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
TX
03/27/2023 - Present
Avantax Advisory Services (DALLAS TX)
BC
Issued 07/29/2023
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/25/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/16/2023
Series 7TO - General Securities Representative Examination
BC
Issued 06/10/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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