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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 Stewart Smith is a financial advisor at Wealthpenn.comllc in Boston, MA. James has over 30 years of experience in the financial services industry. James is registered with FINRA and the Securities Investor Protection Corporation (SIPC) in addition to the state of Florida. James holds the Series 4, 7, 31 and SIE licenses. James provides a variety of services to individuals, corporations, and other institutions. James specializes in asset allocation, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses, individuals, and investment companies. James has been recognized as a Certified Financial Planner.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
MA
08/07/2010 - Present
Wealthpenn.comllc (Boston MA)
MA
04/15/2005 - 08/02/2010
UBS FINANCIAL SERVICES INC. (BOSTON MA)
MO
06/30/2003 - 04/21/2005
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
02/18/2000 - 08/31/2001
UST FINANCIAL SERVICES CORP. (NEW YORK NY)
TX
01/07/1998 - 01/31/2000
PARTNERS SECURITIES, INC. (AUSTIN TX)
MN
05/12/1995 - 01/12/1998
FORTIS INVESTORS, INC. (OAKDALE MN)
CT
09/30/1993 - 05/16/1995
PACVEST ASSOCIATES, INC. (WOODSTOCK CT)
MA
01/08/1993 - 10/18/1993
G.R. STUART & COMPANY, INC. (MAYNARD MA)
NA
12/19/1989 - 02/08/1993
FINANCIAL SECURITIES NETWORK,INC.
MA
07/28/1987 - 11/18/1989
WINGATE CAPITAL CORPORATION (LEXINGTON MA)
NA
03/25/1987 - 08/12/1987
FINANCIAL SECURITIES NETWORK,INC.
BC
Issued 5/26/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/6/1987
Series 4 - Registered Options Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 1/6/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 3/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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