Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Smith is a securities professional with over 27 years of experience in the financial services industry. Joseph currently holds registrations with Fidelity Brokerage Services LLC and National Financial Services LLC. Prior to these positions, Joseph was registered with Summer Street Research Partners, Wall Street Access, and National Financial Services LLC. Joseph is a Series 7, 24, 55, 63, and SIE licensed professional. Joseph has held a variety of roles within the financial services industry and is licensed in 53 states.
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.
1
2
MA
04/07/2021 - Present
Fidelity Brokerage Services LLC (BOSTON MA)
MA
07/18/2005 - 11/25/2005
SUMMER STREET RESEARCH PARTNERS (BOSTON MA)
NY
01/08/2003 - 06/17/2005
WALL STREET ACCESS (NEW YORK NY)
MA
04/06/1999 - 10/30/2002
NATIONAL FINANCIAL SERVICES LLC (BOSTON MA)
RI
01/23/1995 - 04/06/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
12/23/1993 - 04/20/1994
DICKINSON & CO. (DES MOINES IA)
BC
Issued 12/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/17/2015
Series 24 - General Securities Principal Examination
BC
Issued 02/20/1997
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/22/1993
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
I
Investors' Exchange LLC
M
MEMX LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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