James Smith
James Smith is a registered investment advisor at Raymond James & Associates, INC., based in Auburn Hills, MI, with 2 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Location
27 S Squirrel, Ste. 200, Auburn Hills, MI, 48326
Get directionsHistory
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 Activities
James is a trustee of a family trust, responsible for managing the trust's assets, investing, and handling administrative duties. This activity requires about 10-20% of his time, including during trading hours.
Employment History
Current Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
State Registrations6 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.