Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Randy Smith is a financial advisor who has been working in the financial services industry since 1980. James Randy Smith is currently registered with Prospera Financial Services, Inc. and has been with the firm since 2019. Prior to working at Prospera Financial Services, Inc., James Randy Smith was registered with UBS Financial Services Inc. and Citigroup Global Markets Inc. James Randy Smith is a registered Investment Advisor Representative. James Randy Smith also has a Series 7, Series 31, and Series 65 license. James Randy Smith is an insurance agent and a trustee for Newman Living Trust.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
TX
03/29/2019 - Present
Prospera Financial Services, Inc. (Houston TX)
TX
02/06/2009 - 04/03/2019
UBS FINANCIAL SERVICES INC. (HOUSTON TX)
TX
07/31/1993 - 02/26/2009
CITIGROUP GLOBAL MARKETS INC. (HOUSTON TX)
NY
01/13/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/13/1984 - 01/01/1988
OPPENHEIMER & CO., INC.
NA
02/07/1983 - 02/03/1984
ESSEX COMPANY
NA
11/25/1980 - 01/17/1983
UNDERWOOD, NEUHAUS & CO., INCORPORATED
IA
Issued 04/30/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/03/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 11/15/1980
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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