Julia Smith, financial advisor Kingwood TX
81 score

Julia Smith

CRD Number: 4513099
Current Firm: J.p. Morgan Securities LLC

Julia Smith (CRD# 4513099) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in Kingwood, TX and has over 13 years of experience in the finance industry.

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Company Name Location Dates Years
J.p. Morgan Securities LLC Humble, TX Oct 2012 - Current 4
Chase Investment Services Corp. New Caney, TX Jan 2011 - Oct 2012 1
Wells Fargo Investments, LLC Humble, TX Aug 2009 - Jan 2011 1
Wells Fargo Bank, N.a. Humble, TX Aug 2009 - Jan 2011 1
Wells Fargo Investments, LLC Humble, TX Jun 2008 - Aug 2009 1
Wells Fargo Investments, LLC Houston, TX Apr 2008 - Jun 2008 < 1
Wells Fargo Investments, LLC Houston, TX Feb 2008 - Apr 2008 < 1
Compass Brokerage, Inc. Houston, TX May 2007 - Jan 2008 < 1
Compass Bank Houston, TX May 2007 - Jan 2008 < 1
Bank Of America, N.a. Kingwood, TX Jul 2004 - May 2007 2
Banc Of America Investment Services, Inc. Houston, TX Jul 2004 - May 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2003
S66 NASAA Uniform Combined State Law Examination Jun 2008
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Financial Issue
Get Details on the FINRA Advisor Check site
Contact Info for Julia M. Smith
Phone Number: 800-999-2000
Firm Website: https://www.jpmorgan.com
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    70,743
    MILLIONS
  • Total Number of Accounts
    344,720
    ACCOUNTS
  • Average Account Value
    $205,219
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Performance-based fees
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
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
81

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