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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

JAMES HORSLEY SMITH

Advisor at BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ROME, GA | ST. LOUIS, MO

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:f6faf1f0-fff7-97e6-62b6-1c40907162eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 30, 2005 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: BENJAMIN F. EDWARDS & COMPANY, INCORPORATED
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: Aug 10, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 2
Current registrations: 1
Registered states: 2
Exams: S66|S63
First exam: Aug 10, 2002
First registration: Jun 30, 2005
Dual registered: yes, broker-dealer
Other names: JIMMY SMITH
IAPD individual key: 4523777

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
BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Bd affiliated wealth	Oct 16, 2015	n/a	yes	ST. LOUIS, MO\|ROME, GA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Oct 21, 2015	no	ROME, GA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Jun 30, 2005	Jan 1, 2008	no	ROME, GA\|ST. LOUIS, MO\|ROME, GA	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
WELLS FARGO ADVISORS	BENJAMIN F. EDWARDS & COMPANY, INCORPORATED	Oct 21, 2015	Oct 16, 2015	-5	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	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
19616:146936:GA:2015-10-21	Oct 21, 2015	Oct 16, 2015	ROME, GA	Firm change

Relationships

Registered with (3)

→ BENJAMIN F. EDWARDS & COMPANY, INCORPORATEDRegistered adviserregistration: current employment
Oct 16, 2015 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Oct 21, 2015factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Jun 30, 2005 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f6faf1f0-fff7-97e6-62b6-1c40907162eb
First observed: Jun 30, 2005
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

JAMES HORSLEY SMITH

Advisor at BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

ROME, GA | ST. LOUIS, MO

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:f6faf1f0-fff7-97e6-62b6-1c40907162eb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:35 PM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

Bd affiliated wealth

Oct 16, 2015

n/a

yes

ST. LOUIS, MO|ROME, GA

Current employment

WELLS FARGO ADVISORS

Wirehouse

Jan 1, 2008

Oct 21, 2015

ROME, GA

Previous registration

A. G. EDWARDS & SONS, INC.

n/a

Jun 30, 2005

Jan 1, 2008

ROME, GA|ST. LOUIS, MO|ROME, GA

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

WELLS FARGO ADVISORS

BENJAMIN F. EDWARDS & COMPANY, INCORPORATED

Oct 21, 2015

Oct 16, 2015

-5

Firm change

Other

A. G. EDWARDS & SONS, INC.

WELLS FARGO ADVISORS

Jan 1, 2008

Bulk transfer

Other

Team

Left

Joined

From

Kind

19616:146936:GA:2015-10-21

Oct 21, 2015

Oct 16, 2015

ROME, GA

Firm change