James Smith is a registered investment advisor, based in Greenwood Village, CO, with 34 years of industry experience.
Location
5299 Dtc Blvd, Suite 210, Greenwood Village, CO, 80111
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
May 2018 - Present · 8 yrs
Raymond James Financial Services Advisors, INC
May 2018 - Present · 8 yrs
Previous Registrations
Wells Fargo Advisors Financial Network, LLCBroker
June 2016 - May 2018 · 1 yr 11 mos
Wells Fargo Advisors Financial Network, LLC
June 2016 - May 2018 · 1 yr 11 mos
Wells Fargo Advisors, LLC
March 1999 - June 2016 · 17 yrs 3 mos
Wells Fargo Advisors, LLCBroker
April 1993 - June 2016 · 23 yrs 2 mos
Smith, Benton & Hughes, INC.Broker
April 1992 - April 1993 · 1 yr
Venture Trading, INC.Broker
February 1990 - September 1990 · 7 mos
Sprung & Wise Securities, INC.Broker
January 1989 - March 1989 · 2 mos
State Registrations33 states
ARAZCACODCFLGAIAIDILKSMAMDMIMNMOMTNCNJNMNVNYOHOKORPASCSDTXVAWAWIWY
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.