linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

James Smiles

Nylife Securities LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you James? Claim Your Profile

About James Smiles

James Smiles has been in the securities industry since May 2003 and is currently registered with Nylife Securities LLC in New York, NY. James Smiles has previously worked for several firms including E*TRADE Securities LLC, Cambridge International Securities, LLC, Penserra Securities, LLC, BB&T Securities, LLC, Scott & Stringfellow, LLC, Stifel, Nicolaus & Company, Incorporated, Sandler, O'Neill & Partners, L.P., RBS Greenwich Capital, MBIA Capital Management Corp., Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., Dillon, Read & Co. Inc., and Expansion Capital Securities. James Smiles is also licensed in Connecticut and New York.

Firm Information

James Smiles is currently registered with Nylife Securities LLC. Nylife Securities LLC is a Limited Liability Company formed in 2007, registered in 51 states and the SEC. The firm has been involved in 13 regulatory events and 7 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

4,464

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

James Smiles’s Registration & Firm History

NY

12/15/2020 - Present

Nylife Securities LLC (NEW YORK NY)

NY

12/20/2018 - 04/08/2020

E*TRADE SECURITIES LLC (SCARSDALE NY)

CT

03/26/2018 - 12/19/2018

CAMBRIDGE INTERNATIONAL SECURITIES, LLC (WESTPORT CT)

NY

06/20/2017 - 01/12/2018

PENSERRA SECURITIES, LLC (NEW YORK NY)

NY

01/02/2013 - 01/10/2017

BB&T SECURITIES, LLC (NEW YORK NY)

NY

08/16/2012 - 01/02/2013

SCOTT & STRINGFELLOW, LLC (NEW YORK NY)

NY

06/21/2010 - 01/13/2012

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

11/03/2009 - 12/09/2009

SANDLER, O'NEILL & PARTNERS, L.P. (NEW YORK NY)

CT

02/28/2006 - 05/30/2007

RBS GREENWICH CAPITAL (STAMFORD CT)

NY

03/06/2002 - 04/09/2003

MBIA CAPITAL MANAGEMENT CORP. (NEW YORK NY)

NY

06/29/1998 - 11/23/1998

WARBURG DILLON READ LLC (NEW YORK NY)

CT

07/20/1995 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

CT

05/30/1994 - 11/28/1994

DILLON, READ & CO. INC. (STAMFORD CT)

CA

05/09/1991 - 01/31/1994

EXPANSION CAPITAL SECURITIES (SAN FRANCISCO CA)

Not sure if James Smiles is right for you?

Licenses & Designations

BOTH

Issued 02/04/2019

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/28/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/08/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Smiles.
Not sure if James Smiles is right for you?