James SmithCRD Number: 3120584
Current Firm: Gwm Advisors, LLC
James Smith (CRD# 3120584) is an Investment Advisor Representative working at Gwm Advisors, LLC in Monroe, LA and has over 10 years of experience in the finance industry.
Argent Advisors, Inc.
Raymond James Financial Services Advisors, Inc.
Eagle Strategies LLC
|Gwm Advisors Llc Dba Smith Wealth Management||Monroe, LA||Jun 2016 - Current||1|
|Lpl Financial, LLC||Monroe, LA||Jun 2016 - Current||1|
|Raymond James & Associates, Inc.||Monroe, LA||Feb 2013 - Jun 2016||3|
|Morgan Keegan & Company, Inc.||Monroe, LA||Jan 2007 - Feb 2013||6|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2007|
|S66||NASAA Uniform Combined State Law Examination||Jun 2016|
Total Assets Under Management1,054MILLIONS
Total Number of Accounts4,103ACCOUNTS
Average Account Value$256,885
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- 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)
AL, AR, CA, FL, GA, KS, LA, MA, MN, MS, NC, ND, OH, OK, SD, TX, VA, WI