James Smith has been an investment adviser representative at J.D.T. since November 2022, and is not listed among the firm’s executive officers or direct owners. James Smith holds a Bachelor's degree in accounting from the University of Kentucky and a Master of Business Administration from the University of Kentucky.
J.D.T. Inc is a Lexington, KY firm with $159M under management, 208 clients and 5 advisers in one office, as of its February 2026 filing.
Jim Smith is a registered investment advisor with Invest, Inc., based in Lexington, Kentucky. He has over 25 years' experience in financial planning and tax preparation and has assisted individual clients with investments, tax planning, retirement planning and estate management. Smith has also served business clients with start-ups, accounting and payroll.
James Smith’s longest registration was 22 years at Pierce Financial Planning, Inc (2000–2022). Before joining J.D.T. in 2022, James Smith was registered through Pierce Financial Planning, Inc.
- Pierce Financial Planning, Inc– · 22 yearsLexington, KY · Adviser representative · Firm CRD 145465
Professional designations
Listed by J.D.T.
- CFP®
Investment adviser representative registrations
James Smith is registered as an investment adviser representative in Kentucky, since November 2022.
- KentuckySince 29 November 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 13 December 1999 |
- Name
- Uniform Securities Agent State Law Examination
- Full name
- James Alan Smith
- CRD
- 5446984
- Firm
- J.D.T. · CRD 146357
- Office
- 444 LEWIS HARGETT CIRCLE, STE 125, Lexington, KY 40503
- Registration
- Investment adviser registration
- In the industry since
- January 2000
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- invest-lex.com
Where does James Smith work?
James Smith is an investment adviser representative registered through J.D.T. Inc since November 2022, and is not listed among the firm’s executive officers or direct owners.
Is James Smith a financial advisor?
Yes. James Smith has a current investment-adviser registration in Kentucky, through J.D.T. since November 2022.
How many years of experience does James Smith have?
James Smith has 26 years in the financial industry, since January 2000, across 2 adviser firms.
What exams has James Smith passed?
James Smith passed the Series 63 in December 1999.
Where is James Smith based?
James Smith’s registered office is in Lexington, KY.
Is James Smith registered with FINRA?
No. James Smith has no current broker registration.
Is James Smith a CFP?
J.D.T. lists James Smith with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
Source: James A. (Jim) Smith, MBA, CFP® biography, invest-lex.com
How can I verify James Smith’s record?
Search CRD 5446984 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes James Smith’s full registration record.
