James Randy Smith

Employer firm

Prospera Financial Services, Inc. CRD 10740

$12.4B regulatory AUM 14 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2009 → 03/2019
  Ubs Financial Services Inc
  Houston, TX
• 03/2019 → Present
  Prospera Financial Services Inc.
  Dallas, TX

Previous Registrations

• 2009-02-06 → 2019-04-03
  Ubs Financial Services Inc.
  Houston, TX
• 1993-07-31 → 2009-02-26
  Citigroup Global Markets Inc.
  Houston, TX
  Houston, TX

Other Businesses

Mr. Smith is an Insurance agent Fixed Insurance Business, located at 8919 Cardwell Lane, Houston TX 77055. Insurance Business spending 1-9% of his weekly time during market hours. Comp represents 1-9% of his annual income. Mr. Smith is a Trustee for Newman Living Trust Located at 8919 Cardwell Lane Houston, Tx. 77055. This business is not investment related. Spending 1-9% of the time conducting this business weekly none during market hours. Compensations is 1-9% of his annual income. Parklane Financial Advisors, LLC; Investment Related - Yes; 8919 Cardwell Lane, Houston, TX 77055; DBA; Managing Director; Advisor; 04/2019; 120 Hours Per Month; 120 During Trading Hours; Providing financial planning and investment-related services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2009-04-30
• S63 Uniform Securities Agent State Law Examination
  1980-11-25

Other Names

• J. Randy Smith