Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Aloysius Smith is a financial advisor with over 30 years of experience in the industry. Joseph currently works with Samuel A. Ramirez & Company, Inc. and is registered to provide investment advice in both Connecticut and New York. Joseph is a Series 7 and Series 63 licensed professional. Prior to joining Samuel A. Ramirez & Company, Inc., Joseph worked at C. L. King & Associates, Inc., Morgan Keegan & Company, Inc., Cantor Fitzgerald & Co., and Janney Montgomery Scott LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
03/13/2019 - Present
Samuel A. Ramirez & Company, Inc. (ALBANY NY)
NY
02/26/2010 - 03/14/2019
C. L. KING & ASSOCIATES, INC. (ALBANY NY)
NY
04/04/2007 - 03/03/2010
MORGAN KEEGAN & COMPANY, INC. (ALBANY NY)
NY
09/11/2006 - 04/03/2007
CANTOR FITZGERALD & CO. (ALBANY NY)
NY
07/11/2005 - 07/27/2006
JANNEY MONTGOMERY SCOTT LLC (ALBANY NY)
NY
07/18/1989 - 07/14/2005
FIRST ALBANY CAPITAL INC. (NEW YORK NY)
BC
Issued 09/09/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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