James Smith, financial advisor San Francisco CA

James Smith

CRD 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.

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Company Name Location Dates Years
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
Contact Info for James R. Smith
Phone Number: 800-999-2000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    229,725
    MILLIONS
  • Total Number of Accounts
    856,594
    ACCOUNTS
  • Average Account Value
    $268,184
Compensation Options
  • A percentage of assets under your management
  • Other
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

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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