James Schmertmann is a registered investment advisor, based in Moline, IL, with 27 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold.
Location
615 35th Ave, Moline, IL, 61265
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Regulatory History (1)
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Customer Dispute
March 2008Denied
Other Business Activities
James operates under two DBAs for his LPL business: SBS Private Wealth Management, Inc. since 2008 and SBS Financial, Inc. since 2019, dedicating full-time hours to the latter. James also owns rental real estate since 2015, requiring minimal time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
January 2026 - Present · 9 mos
Raymond James Financial Services Advisors, INC
January 2026 - Present · 9 mos
Previous Registrations
LPL Financial LLCBroker
February 2008 - January 2026 · 17 yrs 11 mos
LPL Financial LLC
February 2008 - January 2026 · 17 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
February 2000 - February 2008 · 8 yrs
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
February 2000 - February 2008 · 8 yrs
New England SecuritiesBroker
November 1989 - February 1991 · 1 yr 3 mos
State Registrations29 states
AKALARAZCACOCTFLGAIAILINKYMAMDMNMONCNVOHORPASCSDTNTXVAWAWI
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.
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