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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Smith is an investment advisor representative with United Planners' Financial Services Of America A Limited Partner. James Richard Smith has been in the industry since 1996. James Richard Smith has a Series 7, Series 24, Series 53, and Series 63 license. They have been a registered advisor with the state of Arizona since 2009. James Richard Smith previously worked with SagePoint Financial, Inc. and American General Securities Incorporated.
7333 EAST DOUBLETREE RANCH RD, SUITE 120
SCOTTSDALE, AZ 85258
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.
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.
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2
AZ
12/11/2013 - Present
United Planners' Financial Services OF America A Limited Partner (SCOTTSDALE AZ)
AZ
05/26/2005 - 05/06/2009
SAGEPOINT FINANCIAL, INC. (PHOENIX AZ)
AZ
10/25/2007 - 10/29/2008
AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)
AZ
03/31/2003 - 04/29/2005
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
AZ
03/31/2003 - 04/29/2005
SPELMAN & CO., INC. (PHOENIX AZ)
AZ
06/14/1996 - 04/29/2005
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
IA
Issued 02/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/02/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/29/2012
Series 53 - Municipal Securities Principal Examination
BC
Issued 09/17/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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