James Jerome Smith

Current Employers

Employment History

• 09/2015 → 06/2021
  Voya Financial Advisors, Inc.
  Louisville, KY
• 06/2021 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2002 → Present
  Smith Properties
  Louisville, KY
• 08/2021 → Present
  Indigo Llc
  Louisville, KY
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2015-10-01 → 2021-06-09
  Voya Financial Advisors, Inc.
  Louisville, KY
  Windsor, CT
  West Des Moines, IA
  Windsor, CT
• 1994-04-01 → 2015-10-06
  Lpl Financial Llc
  Louisville, KY
  Louisville, KY

Other Businesses

1) NAME OF ENTITY: Independent Insurance Agent; Yes; 6010 BROWNSBORO PK BLVD STE A; LOUISVILLE; KY; 40205; Fixed Insurance Sales; Independent Insurance Agent; 9/25/2015; 1; 1; sales of fixed insurance products| 2)NAME OF ENTITY:RENTAL PROPERTY; No; 2715 GLEESON LANE; JEFFERSONTOWN; KY; 40299; RENTAL PROPERTY; OWNER; 2/2/2017; 1; 0; MAINTAIN PROPERTY AND COLLECT RENT| 3) NAME OF ENTITY:SMITH & SMITH LTD; Yes; 6010 BROWNSBORO PK BLVD STE A; LOUISVILLE; KY; 40205; FINANCIAL SERVICES/DBA; OWNER/PRESIDENT; 6/1/1994; 160; 160; SELL AND SERVICE FIXED INSURANCE,SECURITIES & INVESTMENT PRODUCTS.| 4) NAME OF OTHER BUSINESS: SMITH PROPERTIES; INVESTMENT RELATED: NO ADDRESS: 6010 BROWNSBORO PK BLVD STE A LOUISVILLE, KY 40207; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 06/2002; POSITION/TITLE/RELATIONSHIP: OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: REAL ESTATE RENTAL PROPERTY, COLLECT RENT; 5) NAME OF OTHER BUSINESS: INDIGO LLC; INVESTMENT RELATED: NO ADDRESS: 6010 BROWNSBORO PK BLVD STE A LOUISVILLE, KY 40207; NATURE OF BUSINESS: REAL ESTATE RENTAL; START DATE: 08/2021; POSITION/TITLE/RELATIONSHIP: CO-OWNER; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: LIGHT MAINTENANCE AND SUPERVISOR;

Exams

• S65 Uniform Investment Adviser Law Examination
  1992-11-10
• S63 Uniform Securities Agent State Law Examination
  1982-10-06

Other Names

• Jerry Smith