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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

JAMES MORRIS SMITH

Advisor at RBC CAPITAL MARKETS, LLC

FRANKLIN, TN | Franklin, TN

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Search this name across graphsid dfx:ria:c8edd1fe-2efb-8bc7-a263-fc9053cfefb2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 1, 2001 to Sep 14, 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: RBC CAPITAL MARKETS, LLC
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Feb 11, 1994
First registration: Jun 1, 2001
Dual registered: yes, broker-dealer
Other names: JAMIE SMITH|JAMES SMITH
IAPD individual key: 2438276

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
RBC CAPITAL MARKETS, LLC	National bd RIA	Jun 26, 2025	n/a	yes	Franklin, TN\|FRANKLIN, TN	Current employment
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Aug 18, 2017	Jul 11, 2025	no	Franklin, TN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 7, 2011	Aug 17, 2017	no	BRENTWOOD, TN	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Sep 22, 2006	Oct 14, 2011	no	SPRING HILL, TN\|BRENTWOOD, TN\|FRANKLIN, TN\|FRANKLIN, TN\|FRANKLIN, TN\|FRANKLIN, TN\|FRANKLIN, TN\|NASHVILLE, TN\|BRENTWOOD, TN	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Feb 24, 2005	Sep 21, 2006	no	FRANKLIN, TN\|FRANKLIN, TN	Previous registration
MORGAN KEEGAN & COMPANY, LLC	Former SEC adviser	Jul 28, 2004	Dec 2, 2004	no	NORTH LITTLE ROCK, AR	Previous registration
UNION PLANTERS INVESTMENT ADVISORS, INC.	n/a	Jun 1, 2001	Aug 6, 2004	no	JONESBORO, AR	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
JANNEY MONTGOMERY SCOTT LLC	RBC CAPITAL MARKETS, LLC	Jul 11, 2025	Jun 26, 2025	-15	Firm change	Ibd to ibd
WELLS FARGO ADVISORS	JANNEY MONTGOMERY SCOTT LLC	Aug 17, 2017	Aug 18, 2017	1	Firm change	Other
SUNTRUST INVESTMENT SERVICES, INC.	WELLS FARGO ADVISORS	Oct 14, 2011	Oct 7, 2011	-7	Firm change	Other
FIFTH THIRD SECURITIES, INC.	SUNTRUST INVESTMENT SERVICES, INC.	Sep 21, 2006	Sep 22, 2006	1	Firm change	Other
MORGAN KEEGAN & COMPANY, LLC	FIFTH THIRD SECURITIES, INC.	Dec 2, 2004	Feb 24, 2005	84	Firm change	Other
UNION PLANTERS INVESTMENT ADVISORS, INC.	MORGAN KEEGAN & COMPANY, LLC	Aug 6, 2004	Jul 28, 2004	-9	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
463:31194:TN:2025-07-01	Jul 11, 2025	Jun 26, 2025	FRANKLIN, TN	Firm change
19616:463:TN:2017-08-17	Aug 17, 2017	Aug 18, 2017	BRENTWOOD, TN	Firm change

Relationships

Registered with (7)

→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: current employment
Jun 26, 2025 to presentfactForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Aug 18, 2017 to Jul 11, 2025factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 7, 2011 to Aug 17, 2017factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Sep 22, 2006 to Oct 14, 2011factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Feb 24, 2005 to Sep 21, 2006factForm ADV
→ MORGAN KEEGAN & COMPANY, LLCRegistered adviserregistration: previous registration
Jul 28, 2004 to Dec 2, 2004factForm ADV
→ UNION PLANTERS INVESTMENT ADVISORS, INC.Registered adviserregistration: previous registration
Jun 1, 2001 to Aug 6, 2004factForm ADV

Dated events

Occurred
Jul 11, 2025
Advisor changed firm
James Morris Smith left Janney Montgomery Scott Llc for Rbc Capital Markets, Llc (registered 2025-06-26)
Form ADVobserved 5 days ago