James Smith
James Smith is a PFS-designated registered investment advisor at Cetera Investment Advisers LLC, based in Honolulu, HI, with 10 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
1188 Bishop Street, Ste 2105, Honolulu, HI, 96813
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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 agent for Avantax Insurance Agency, selling annuities, and is also involved with several other businesses including a non-profit, an accounting and tax service, a property holding company, and a business networking group. He dedicates full-time hours to the accounting and tax service, and about a third of his time to Vision Wealth Strategies, LLC.
Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
Cetera Investment Advisers LLC
Previous Registrations
Avantax Investment Services, INC.Broker
Avantax Advisory Services
Cetera Advisor Networks LLCBroker
Summit Financial Group INC
Summit Brokerage Services, INC.Broker
H.D. Vest Advisory Services, INC
Hd Vest Investment ServicesBroker
State Registrations2 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.