Joseph D. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Daniel Smith, who also goes by Dan Smith, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1989. Joseph had worked at 3 firms and has passed the Series 65, Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 2012 - October 2, 2025
A-ADVANTAGE TAX & FINANCIAL SERVICES INC.
August 6, 2002 - June 28, 2006
CETERA WEALTH SERVICES, LLC
January 10, 1992 - June 28, 2006
CETERA WEALTH SERVICES, LLC
June 26, 1990 - May 3, 1991
CETERA WEALTH SERVICES, LLC
April 18, 1989 - April 24, 1990
THE ADVISORS GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
A-ADVANTAGE TAX & FINANCIAL SERVICES INC.
CRD#: 141159 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 14,300,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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