James Smith
James Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Louisville, KY, with 47 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
6010 Brownsboro PK Blvd Ste A, Louisville, KY, 40205
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 ActivitiesSells Insurance
James sells fixed insurance products as an independent insurance agent and through Smith & Smith LTD, where he also sells securities and investment products. He also owns and manages multiple rental properties, dedicating minimal time to these real estate ventures.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Voya Financial Advisors, INC.
Voya Financial Advisors, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Prudential Securities IncorporatedBroker
State Registrations8 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.