Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Thomas Smith is a financial advisor with over 30 years of experience in the industry. Joseph currently works at LPL Financial LLC. Joseph has a broad range of experience including experience with a wide range of investment products. Joseph is also a Certified Financial Planner. Joseph is registered to provide financial advice in several states including California, Colorado, Florida, Maryland, New Jersey, New York, North Carolina and Pennsylvania. Joseph is also registered with FINRA as a Registered Representative and is a member of the Securities Industry and Financial Markets Association (SIFMA).
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
NJ
05/08/2020 - Present
LPL Financial LLC (MADISON NJ)
NJ
11/20/2007 - 05/11/2020
SAGEPOINT FINANCIAL, INC. (MADISON NJ)
NJ
01/28/2004 - 11/27/2007
A. G. EDWARDS & SONS, INC. (SHORT HILLS NJ)
NY
07/01/2002 - 01/13/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
10/10/2000 - 10/16/2001
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
NJ
04/19/1983 - 10/10/2000
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
IA
Issued 08/02/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/08/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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