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James Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Nashville, TN, with 11 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
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
5707 Nolensville Road, Nashville, TN, 37211
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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
Cetera Investment Advisers LLC
July 2018 - Present · 7 yrs 10 mos
Cetera Investment Services LLCBroker
September 2015 - Present · 10 yrs 8 mos
Previous Registrations
U.S. Bancorp Investments, INC.Broker
December 2014 - August 2015 · 8 mos
State Registrations6 states
ALFLGANJSCTN
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.