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JAMES KENNETH SMITH
JAMES K SMITH
CRD#: 6197584
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 3279 E CHEROKEE DRIVE
CANTON, GA 30115
CANTON, GA 30115
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 3279 E CHEROKEE DRIVE
CANTON, GA 30115
CANTON, GA 30115
0
Disclosures
11
Years of Experience
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State Registrations
B
Georgia 4/23/2024
IA
Georgia 4/25/2024
SRO Registrations
B
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IA
Registered with this firm since 4/25/2024
B
Registered with this firm since 4/23/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 02/16/2015 - 04/18/2024 | CANTON, GA | |
B | 08/02/2013 - 04/18/2024 | CANTON, GA |
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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.