Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Robert Smith is a financial advisor in Grand Rapids, MI. James has been in the financial industry for over 30 years and has a wide range of experience in providing investment advice. James is a registered representative with Wells Fargo Clearing Services, LLC and is also a registered investment advisor. James specializes in providing investment advice to high net worth individuals, corporations, and other institutions.
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.
Investment consulting services to institutional clients
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
MI
06/25/2012 - Present
Wells Fargo Clearing Services, LLC (GRAND RAPIDS MI)
NC
03/15/1996 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
WI
06/30/1994 - 04/16/1996
INVEST FINANCIAL CORPORATION (APPLETON WI)
MI
09/16/1991 - 04/09/1996
FMB INVESTMENT SERVICES (HOLLAND MI)
MN
09/19/1989 - 09/17/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/19/1989 - 09/17/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 05/06/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/22/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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