James SmithCRD Number: 4535885
Current Firm: J.p. Morgan Securities LLC
James Smith (CRD# 4535885) is an Investment Advisor Representative working at J.p. Morgan Securities LLC in San Francisco, CA and has over 10 years of experience in the finance industry.
Polaris Wealth Advisory Group
Monetary Management Corporation
Perigon Wealth Management, LLC
|J.p. Morgan Securities LLC||Dublin, CA||Oct 2012 - Current||10|
|Jpmorgan Chase Bank||Hayward, CA||Jun 2011 - Current||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 2012|
|S66||NASAA Uniform Combined State Law Examination||Dec 2019|
Total Assets Under Management229,725MILLIONS
Total Number of Accounts856,594ACCOUNTS
Average Account Value$268,184
- A percentage of assets under your management
- 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)
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, WY
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