James Theodore Smith

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2025-11-06
NY	RA	APPROVED	2025-10-17

Branch Locations

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

Organization	City	State	From	To
J.P. Morgan Securities Llc	Rochester	NY	07/2025	Present
Jpmorgan Chase Bank, N.A.	Rochester	NY	07/2025	Present
Providence College	Providence	RI	08/2021	06/2025
Fidelity Investments	Smithfield	RI	06/2024	08/2024
Emplifi	Prague		01/2024	05/2024
Vie De France Co. Ltd Subsidiary Of Yamazaki Baking/ Bakewise	Rochester	NY	12/2022	02/2023
Unemployed	Rochester	NY	04/2020	07/2021
Pittsford Dairy	Rochester	NY	08/2017	03/2020
Unemployed	Rochester	NY	07/2015	07/2017

07/2025 → Present

J.P. Morgan Securities Llc

Rochester, NY
07/2025 → Present

Jpmorgan Chase Bank, N.A.

Rochester, NY
08/2021 → 06/2025

Providence College

Providence, RI
06/2024 → 08/2024

Fidelity Investments

Smithfield, RI
01/2024 → 05/2024

Emplifi

Prague
12/2022 → 02/2023

Vie De France Co. Ltd Subsidiary Of Yamazaki Baking/ Bakewise

Rochester, NY
04/2020 → 07/2021

Unemployed

Rochester, NY
08/2017 → 03/2020

Pittsford Dairy

Rochester, NY
07/2015 → 07/2017

Unemployed

Rochester, NY

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-10-17
S63	Uniform Securities Agent State Law Examination	2025-10-10

Other Firms