Individual Firm
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JAMES PAUL SMITH
JIM SMITH
CRD#: 1989232
IA
B
CREATIVEONE SECURITIES, LLCCRD#: 152974 421 Wando Park Blvd
Suite 140
Mt. Pleasant, SC 29464
Suite 140
Mt. Pleasant, SC 29464
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12/28/2012
Customer Dispute
Settled
12/1/2009
Customer Dispute
Denied
State Registrations
B
Alabama 2/27/2019
B
Michigan 1/6/2025
B
California 2/26/2019
B
Minnesota 1/3/2025
B
Colorado 1/2/2025
B
Missouri 1/2/2025
B
Connecticut 2/26/2019
B
New York 10/24/2024
B
Delaware 3/6/2019
B
North Carolina 1/2/2025
B
District of Columbia 2/28/2019
B
Ohio 1/30/2025
B
Florida 2/27/2019
B
Pennsylvania 3/1/2019
B
Georgia 2/27/2019
B
South Carolina 11/1/2018
B
Indiana 1/6/2025
IA
South Carolina 11/1/2018
B
Iowa 1/3/2025
B
Texas 2/27/2019
B
Kansas 1/2/2025
B
Virginia 11/7/2018
B
Kentucky 1/6/2025
B
West Virginia 3/11/2019
B
Maryland 2/28/2019
SRO Registrations
B
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IA
Registered with this firm since 11/1/2018
B
Registered with this firm since 10/30/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/13/2016 - 10/31/2018 | MOUNT PLEASANT, SC | |
B | 05/13/2016 - 10/31/2018 | MOUNT PLEASANT, SC | |
IA | 01/06/2014 - 05/13/2016 | MOUNT PLEASANT, SC | |
B | 01/02/2014 - 05/13/2016 | MOUNT PLEASANT, SC | |
IA | 02/06/2006 - 12/31/2013 | MT PLEASANT, SC | |
B | 10/28/2004 - 12/31/2013 | MT PLEASANT, SC | |
B | 10/01/2002 - 10/29/2004 | PHOENIX, AZ | |
B | 01/02/1990 - 10/01/2002 | HOUSTON, TX |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.