Joseph Alan Smith
Professional Summary
Joseph Alan Smith, who also goes by Joe Smith, Joey Smith, is a registered financial advisor currently at CASSEL SALPETER & CO., LLC located in Miami, Florida. Joseph is registered as a RR (Registered Representative) and started their career in finance in 1981. Joseph has worked at 11 firms and has passed the Series 63, Series 79TO, SIE, Series 5, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joe Smith, Joey Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
44 years in the financial services industry
Current & Past Employments
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Current Firm
CASSEL SALPETER & CO., LLC | J. CASSEL & COMPANY, L.L.C.
Contact Information
Main Address
3250 Mary Street Suite 410, Miami, FL 33133Mailing Address
3250 Mary Street Suite 410, Miami, FL 33133Phone Number
(305) 438-7700Established
Florida since 03/04/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (5 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(10/31/2011)
(10/25/2011)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 5 — Interest Rate Options Examination
Passed Mar 1983Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1981About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Joseph Alan Smith's CRS (Customer Relationship Summary).
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