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JAMES DAVID SMITH
CRD#: 4140140
IA
B
CAPITAL ANALYSTSCRD#: 162200 120 SECOND STREET
PO BOX 85
FT JENNINGS, OH 45844
PO BOX 85
FT JENNINGS, OH 45844
LINCOLN INVESTMENTCRD#: 519 120 SECOND STREET
FT. JENNINGS, OH 45844
FT. JENNINGS, OH 45844
0
Disclosures
24
Years of Experience
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State Registrations
B
Florida 7/18/2016
B
Ohio 6/1/2012
B
Indiana 7/19/2016
IA
Ohio 6/1/2012
SRO Registrations
B
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IA
Registered with this firm since 6/5/2012
IA
Registered with this firm since 6/1/2012
B
Registered with this firm since 6/1/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/12/2002 - 06/01/2012 | FT. JENNINGS, OH | |
B | 06/09/2000 - 06/01/2012 | FT. JENNINGS, OH |
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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.