James Henry Smith

Current Employers

Employment History

• 06/2016 → 05/2023
  Lpl Financial, Llc
  Monroe, LA
• 06/2016 → 05/2023
  Newedge Advisors, Llc (Gwm Advisors, Llc)
  Monroe, LA
• 05/2023 → Present
  Cwm, Llc
  Omaha, NE
• 05/2023 → 07/2024
  Carson Wealth
  Monroe, LA
• 07/2024 → Present
  Trillium Wealth
  Monroe, LA

Previous Registrations

• 2023-05-24 → 2026-05-01
  Cwm, Llc
  Monroe, LA
  Omaha, NE
• 2016-06-15 → 2023-05-23
  Newedge Advisors
  Monroe, LA
  New Orleans, LA
• 2013-02-13 → 2016-06-24
  Raymond James & Associates, Inc.
  Monroe, LA
• 2007-06-07 → 2013-02-13
  Morgan Keegan & Company, Llc
  Ruston, LA
  Monroe, LA

Other Businesses

(1) 06/22/2016: Smith Wealth Management Group - DBA for LPL Business (entity for LPL business) - Smith Wealth Management Group - INV REL - Start 06/15/2016 - 1900 N 18th St, Suite 804, Monroe, LA 71201 - 160 Hr/Mo; 160 During Secs Trdg Hrs (2) 07/21/2016 * GWM Advisors, LLC * Registered Investment Advisor DBA * (Hybrid) Smith Wealth Management Group * INV REL * 1900 N 18t St, Suite 804, Monroe, LA 71201 * IAR - a. yes, b. yes, c. adv's approved & submitted * START 06/15/2016 * 160 HRS/MO DURING SECS TRDG HRS. (3) 2/27/2018 - Smith Wealth Management Group - DBA: (Hybrid) Goss Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:02/22/2018 - 120 Hour(s) Per Month/120 Hour(s) During Trading. (4) 2/9/2022 - NewEdge Advisors, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 06/15/2016 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through NewEdge Advisors, LLC, an independent investment advisor firm. I started this business activity in 06/2016. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2016-06-13
• S63 Uniform Securities Agent State Law Examination
  2007-07-19

Other Names

• Jaime Smith
• James Smith
• James Henry Smith
• James Henry Smith