Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Marvin Smith is a financial advisor with over 30 years of experience in the financial services industry. Joseph has been registered with LPL Financial LLC since 2012 and has previously been associated with Wells Fargo Advisors, LLC, UBS Financial Services Inc., Dean Witter Reynolds Inc., Sutro & Co. Incorporated and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joseph holds several licenses, including Series 7, 63, 65, and 8. Joseph offers a variety of financial planning services, including investment management, retirement planning, and estate planning.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
10/15/2012 - Present
LPL Financial LLC (WOODLAND HILLS CA)
CA
05/09/2008 - 10/15/2012
WELLS FARGO ADVISORS, LLC (WESTLAKE VILLAGE CA)
CA
09/15/2000 - 06/06/2008
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
NY
04/08/1993 - 09/29/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
09/21/1992 - 03/31/1993
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
01/20/1986 - 09/29/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
12/14/1984 - 09/29/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
11/25/1983 - 01/01/1985
MORAMERICA FINANCIAL SERVICES, INC.
IA
Issued 03/23/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/22/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1998
Series 5 - Interest Rate Options Examination
BC
Issued 11/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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