James Smith
James Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Iowa City, IA, with 33 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
700 1st Ave., Eastdale Plaza #4, Iowa City, IA, 52240
Get directionsHistory
Regulatory History (1)
Customer Dispute
February 2003Other Business ActivitiesSells Insurance
James sells equity indexed annuities through Avantax Insurance Agency and health, life, and fixed annuities through PIPAC, taking minimal time for each. He also spends nearly full-time hours on tax preparation and accounting through Smith Accounting Service and Jim Smith Inc., and dedicates minimal time to church record keeping.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Avantax Advisory Services
Avantax Investment Services, INC.Broker
N.I.S. Financial Services, INC.Broker
State Registrations15 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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