Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Wayne Smith has been a registered financial professional since 1986. Currently, James is an investment advisor representative for Independent Financial Group, LLC. Previously, James worked at several other firms including NATIONAL PLANNING CORPORATION, MAIN STREET SECURITIES, LLC, FFP SECURITIES, INC., FINANCIAL PLANNING CONSULTANTS, INC., and FIRST AMERICAN NATIONAL SECURITIES, INC. James has a strong background in providing investment advice to individuals, corporations, and retirement plans. James holds the Series 6, 7, 24, 63, and 65 securities licenses. James is also a registered investment advisor in the state of Missouri.
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.
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.
1
2
MO
10/17/2023 - Present
Independent Financial Group, LLC (ST LOUIS MO)
MO
11/02/2009 - 07/30/2010
NATIONAL PLANNING CORPORATION (ST. LOUIS MO)
MO
12/11/2006 - 11/03/2009
MAIN STREET SECURITIES, LLC (ST LOUIS MO)
MO
02/23/1987 - 12/19/2006
FFP SECURITIES, INC. (ST. LOUIS MO)
NA
07/23/1986 - 03/13/1987
FINANCIAL PLANNING CONSULTANTS, INC.
NA
05/28/1986 - 07/24/1986
FIRST AMERICAN NATIONAL SECURITIES, INC.
IA
Issued 02/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/06/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/03/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/1986
Series 7 - General Securities Representative Examination
BC
Issued 05/27/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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