James Smola
James Smola is a registered investment advisor at Cetera Investment Advisers LLC, based in Avon, OH, with 32 years of industry experience. James operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
37307 Harvest Dr, Avon, OH, 44011
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Regulatory History
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 →Other Business ActivitiesSells Insurance
James is an insurance agent offering fixed life, annuities, and long-term care insurance. He is also a part owner and registered representative of GPS Financial Group, LLC, and a liaison for the Community Foundation of Lorain County, dedicating minimal time to the latter.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
American Express Financial Advisors INC.Broker
Ids Life Insurance CompanyBroker
State Registrations13 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.