James Smith, financial advisor Monroe LA
93 score

James Smith

CRD Number: 3120584
Current Firm: Goss Wealth Management

James Smith (CRD# 3120584) is an Investment Advisor Representative working at Goss Wealth Management in Monroe, LA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
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
New York Life Insurance Company Monroe, LA Aug 1998 - Jan 2007 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 2007
S66 NASAA Uniform Combined State Law Examination Jun 2016
Contact Info for James H. Smith
Phone Number: 225-930-4677
Firm Website: http://www.toupswm.com
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    255
    MILLIONS
  • Total Number of Accounts
    1,206
    ACCOUNTS
  • Average Account Value
    $211,130
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
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)
Types of Clients
Registered States

AL, CA, CO, FL, GA, HI, KS, LA, MS, TX

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

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