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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 Stuart Smith is a financial advisor registered with D.a. Davidson & Co. James has been in the securities industry since 1996. James currently holds the following licenses: Series 7, Series 55, Series 63 and the SIE. James has been with D.a. Davidson & Co. since 2008. Previously, James worked for BROADPOINT CAPITAL, INC., SCHWAB CAPITAL MARKETS L.P., BEAR, STEARNS & CO. INC., and FAHNESTOCK & CO., INC. James has a long history of experience in the financial services industry. James specializes in providing financial planning, portfolio management, and educational seminars to individual and business clients.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MA
06/23/2008 - Present
D.a. Davidson & Co. (BOSTON MA)
MA
01/13/2005 - 05/19/2008
BROADPOINT CAPITAL, INC. (BOSTON MA)
CT
04/23/2003 - 11/11/2004
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
NY
11/17/1998 - 04/24/2003
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
11/30/1995 - 11/24/1998
FAHNESTOCK & CO., INC. (NEW YORK NY)
BC
Issued 09/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/05/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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