Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Kleven Smaby is a financial professional who has been in the industry since August 22, 2013. Joseph Smaby currently works at Lazard Freres & Co. LLC in Minneapolis, MN, and previously worked at Lazard Middle Market LLC in Minneapolis, MN. Joseph Smaby holds Series 63, 65, 79 and SIE licenses and is registered in Minnesota.
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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MN
03/31/2022 - Present
Lazard Freres & Co. LLC (MINNEAPOLIS MN)
MN
07/18/2016 - 03/31/2022
LAZARD MIDDLE MARKET LLC (MINNEAPOLIS MN)
BC
Issued 05/19/2018
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/14/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/2016
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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