Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Morris Smith is a financial advisor with over 27 years of experience in the industry. James has been registered with Janney Montgomery Scott LLC since August 2017 and has held previous roles with Wells Fargo Clearing Services, LLC, SunTrust Investment Services, Inc., Fifth Third Securities, Inc., and Morgan Keegan & Company, Inc. James specializes in providing financial planning, pension consulting, and portfolio management services to individuals, businesses, and corporations.
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.
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.
Fee plus commission
1
2
TN
12/11/2019 - Present
Janney Montgomery Scott LLC (Franklin TN)
TN
10/07/2011 - 08/17/2017
WELLS FARGO CLEARING SERVICES, LLC (BRENTWOOD TN)
TN
09/20/2006 - 10/14/2011
SUNTRUST INVESTMENT SERVICES, INC. (BRENTWOOD TN)
TN
12/08/2004 - 09/21/2006
FIFTH THIRD SECURITIES, INC. (FRANKLIN TN)
TN
07/28/2004 - 12/02/2004
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
TN
10/05/1999 - 08/05/2004
PFIC SECURITIES CORPORATION (FRANKLIN TN)
MA
04/08/1999 - 10/21/1999
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
07/29/1996 - 07/09/1997
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
03/02/1994 - 08/15/1996
SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 02/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/11/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/22/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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