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James Walter Flad

Smb Financial Services, Inc.

Portland, OR

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Current Employers
Smb Financial Services, Inc.

11535 Sw 67Th Ave, Portland, OR 97223 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-12-22
OR RA APPROVED 2011-08-17
  • TX RA
    APPROVED_RES
    Since 2024-12-22
  • OR RA
    APPROVED
    Since 2011-08-17

Branch Locations

11535 Sw 67Th Ave, Portland, OR 97223 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
James W Flad, Cpa, Pc Portland OR 07/1974 Present
Smb Financial Services, Inc. Portland OR 08/2011 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-29
S63 Uniform Securities Agent State Law Examination 2002-08-09
  • S66 Uniform Combined State Law Examination
    2007-06-29
  • S63 Uniform Securities Agent State Law Examination
    2002-08-09
Other Names
  • James W Flad

View on SEC IAPD

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Other Offices

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · PORTLAND, OR
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Portland, OR
SUCCESS WEALTH MANAGEMENT LLC · Portland, OR
INMAN FINANCIAL SERVICES, INC. · PORTLAND, OR
PINNACLE WEALTH ADVISORS · Portland, OR
OSAIC WEALTH, INC. · TIGARD, OR
MERCER GLOBAL ADVISORS INC. · Tigard, OR
MERCER GLOBAL ADVISORS INC. · Tigard, OR

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