James Smith, financial advisor Greenwood Village CO
93 score

James Smith

CRD Number: 1903135
Current Firm: Wells Fargo Advisors Financial Network, LLC

James Smith (CRD# 1903135) is an Investment Advisor Representative working at Wells Fargo Advisors Financial Network, LLC in Greenwood Village, CO and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Wells Fargo Advisors Financial Network, LLC Greenwood Village, CO Jun 2016 - Current < 1
Wells Fargo Advisors LLC Greenwood Village, CO May 2009 - Jun 2016 7
Wachovia Securities, LLC Greenwood Village, CO Jun 2003 - May 2009 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1992
S65 NASAA Investment Advisors Law Examination Dec 1997
Contact Info for James L. Smith
Phone Number: 314-875-3000
Firm Website: http://www.wachovia.com
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    38,415
    MILLIONS
  • Total Number of Accounts
    131,465
    ACCOUNTS
  • Average Account Value
    $292,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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