DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)11 years in industry

JAMES RUSSELL SMITH

Advisor at OSAIC WEALTH, INC.

Harker Hts, TX | Hutto, TX

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b9bd032a-0a47-e5db-ceaa-3dc59d765bd7

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 12, 2015 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC WEALTH, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 10, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jan 10, 2015
First registration: Jan 12, 2015
Dual registered: yes, broker-dealer
Other names: JIMMY RUSSELL SMITH|JAMES RUSSELL SMITH
IAPD individual key: 6413859

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC WEALTH, INC.	Bd affiliated wealth	Nov 2, 2018	n/a	yes	Harker Hts, TX\|Hutto, TX	Current employment
SIGNATOR INVESTORS, INC.	Former SEC adviser	Jun 16, 2017	Nov 2, 2018	no	HARKER HEIGHTS, TX\|HARKER HEIGHTS, TX\|PFLUGERVILLE, TX	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Feb 10, 2016	Jun 22, 2017	no	Harker Heights, TX\|Texas, TX\|AUSTIN, TX\|AUSTIN, TX	Previous registration
EDWARD JONES	National bd RIA	Jan 12, 2015	Jul 31, 2015	no	HARKER HEIGHTS, TX\|ST LOUIS, MO\|ROCKDALE, TX\|HARKER HEIGHTS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SIGNATOR INVESTORS, INC.	OSAIC WEALTH, INC.	Nov 2, 2018	Nov 2, 2018	0	Bulk transfer	Ibd to ibd
MML INVESTORS SERVICES, LLC	SIGNATOR INVESTORS, INC.	Jun 22, 2017	Jun 16, 2017	-6	Firm change	Other
EDWARD JONES	MML INVESTORS SERVICES, LLC	Jul 31, 2015	Feb 10, 2016	194	Firm change	Other

Relationships

Registered with (4)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Nov 2, 2018 to presentfactForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Jun 16, 2017 to Nov 2, 2018factForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Feb 10, 2016 to Jun 22, 2017factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Jan 12, 2015 to Jul 31, 2015factForm ADV

Dated events

No dated event names this entity yet.