Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Richard Smith is a financial advisor with over 25 years of experience in the industry. Smith is currently affiliated with Wedbush Securities Inc., which is a broker-dealer and investment advisor. Joseph Richard Smith has held previous positions at several other firms, including Arque Capital, Ltd., Liberty Partners Financial Services, LLC, MDB Capital Group LLC, Westpark Capital, Inc., The Seidler Companies Incorporated, Jefferies & Company, Inc., and Morgan, Olmstead, Kennedy & Gardner Incorporated. Smith specializes in providing financial planning, portfolio management, and investment advice to individuals and businesses. He is a registered representative in the state of California.
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.
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.
1
2
CA
05/19/2015 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
CA
11/22/2011 - 06/05/2015
ARQUE CAPITAL, LTD. (GARDENA CA)
NC
08/07/2009 - 07/29/2010
LIBERTY PARTNERS FINANCIAL SERVICES, LLC (RALEIGH NC)
TX
09/27/2007 - 06/13/2008
MDB CAPITAL GROUP LLC (ADDISON TX)
CA
05/16/2007 - 09/14/2007
WESTPARK CAPITAL, INC. (LOS ANGELES CA)
CA
09/26/2000 - 03/01/2007
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
NA
08/24/1988 - 07/27/1989
JEFFERIES & COMPANY, INC.
NA
07/17/1984 - 06/28/1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
BC
Issued 11/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/05/2001
Series 14 - Compliance Officer Examination
BC
Issued 03/27/1987
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/07/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/14/1985
Series 24 - General Securities Principal Examination
BC
Issued 06/12/1984
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/29/2008
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 10/17/1986
Series 5 - Interest Rate Options Examination
BC
Issued 04/28/1986
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Joseph Smith is the right advisor for you? Invested Better is here to help.
