James Smalling is a CFP-designated registered investment advisor, based in Folsom, CA, with 14 years of industry experience.
Location
340 Palladio Pkwy., Suite 501, Folsom, CA, 95630
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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.
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James is the treasurer for the Wildhawk Golf Course Player's Association Men's Club, assisting with tournaments and events. This activity takes a few hours per week and is not investment-related.
Employment History
Current Registrations
Aw SecuritiesBroker
January 2014 - Present · 12 yrs 4 mos
Allworth Financial, L.P.
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Pathway Strategic Advisors
October 2013 - January 2014 · 3 mos
Princor Financial Services Corporation
September 2013 - September 2013 · 0 mos
Princor Financial Services CorporationBroker
December 2011 - September 2013 · 1 yr 9 mos
State Registrations1 state
CA
AdvisorBrokerBoth
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
No exam information available for this advisor.