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JS

Joseph A. Smith

CASSEL SALPETER & CO.
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1018196
JS

Professional summary

Joseph Alan Smith, who also goes by Joe Smith, Joey Smith, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Smith | Joey Smith

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joseph Alan Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

October 25, 2011 - Present

CASSEL SALPETER & CO., LLC

Office #1: 801 Brickell Avenue Suite 1900, Miami, FL 33131Office #2: 801 Brickell Avenue Suite 1900, Miami, FL 33131
BD
CRD#: 153522
Miami, FL
Past

September 11, 2009 - October 20, 2011

BRONSON & CO., LLC

BD
CRD#: 45025
MIAMI, FL
Past

October 22, 2008 - August 18, 2009

CAPITAL CITY SECURITIES, LLC

BD
CRD#: 146001
MIAMI, FL
Past

September 28, 2006 - July 23, 2008

REGIS SECURITIES CORPORATION

BD
CRD#: 103711
WESTERVILLE, OH
Past

January 27, 2004 - October 5, 2006

1ST BRIDGEHOUSE SECURITIES, LLC

BD
CRD#: 44655
CORAL GABLES, FL
Past

April 18, 2002 - November 3, 2003

VFINANCE INVESTMENTS, INC

BD
CRD#: 44962
BOCA RATON, FL
Past

May 22, 2001 - April 18, 2002

WILLIAM R. HOUGH & CO.

BD
CRD#: 2235
ST. PETERSBURG, FL
Past

August 2, 1990 - May 4, 2001

FIRST EQUITY CORPORATION OF FLORIDA

BD
CRD#: 9
MIAMI, FL
Past

March 27, 1987 - August 27, 1990

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 1, 1983 - March 31, 1987

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

December 18, 1981 - April 25, 1983

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(10/31/2011)
RR
New York
(10/25/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 5
Date: 3/30/1983
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1983
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/11/1981
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/29/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASSEL SALPETER & CO., LLC
CASSEL SALPETER & CO., LLC | J. CASSEL & COMPANY, L.L.C.

CRD#: 153522 / SEC#: , 8-68547

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
801 Brickell Avenue Suite 1900, Miami, FL 33131
Mailing Address
801 Brickell Avenue Suite 1900, Miami, FL 33131
Phone number
(305) 438-7700
Established
Florida since 03/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TELLURIDE TOO, L.L.C.MEMBER
CASSEL, JAMES SCOTTCHAIRMAN2728677
SALPETER, LAURA RACHELLECCO5947370
SALPETER, SCOTT ERICPRESIDENT/CFO/FINOP2823675

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CASSEL SALPETER & CO., LLC

CRD#: 153522Miami, FL 33131

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