James Smalling, financial advisor Sacramento CA
90 score

James Smalling

CRD Number: 5981078
Current Firm: Hanson Mcclain Advisors

James Smalling (CRD# 5981078) is an Investment Advisor Representative working at Hanson Mcclain Advisors in Sacramento, CA and has over 5 years of experience in the finance industry.

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Company Name Location Dates Years
Hanson Mcclain Securities Sacramento, CA Jan 2014 - Current 2
Hanson Mcclain Advisors Sacramento, CA Jan 2014 - Current 2
Pathway Strategic Advisors Folsom, CA Sep 2013 - Dec 2013 < 1
Alps Distributors, Inc. Denver, CO Sep 2013 - Dec 2013 < 1
Princor Financial Services Corp Roseville, CA Sep 2011 - Sep 2013 2
Principal Life Ins Co Roseville, CA Sep 2011 - Sep 2013 2
Countertop Specialist Sacramento, CA Jul 1982 - Sep 2011 29
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2011
S65 NASAA Investment Advisors Law Examination Sep 2013
Contact Info for James T. Smalling
Phone Number: 916-482-2196
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,962
    MILLIONS
  • Total Number of Accounts
    8,108
    ACCOUNTS
  • Average Account Value
    $242,028
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
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
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

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

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BADGES
90
Clean Record
This advisor has a clean track record with regulators.

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