Joseph S. Lawrence

ARIA WEALTH MANAGEMENT

Huntsville, AL 35801

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CRD#: 2457893

Professional summary

Joseph Scott Lawrence, AIF®, who also goes by Joe Lawrence, is a registered financial advisor currently at ARIA WEALTH MANAGEMENT located in Huntsville, Alabama.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Joseph has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Lawrence

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.

L&R INVESTMENT MANAGEMENT, LLC, 100 CHURCH ST. SW, SUITE 125 G, HUNTSVILLE, AL 35801; SALES INSURANCE BROKERAGE CONTRACTS, GROUP LIFE & DI, LTC. 10% -- INVESTMENT ADVISOR WITH CONCERT WEALTH MANAGEMENT AN SEC RIA. 90% -- SOURCE MANAGEMENT GROUP,LLC MEMBER 310 BRASFIELD DR HUNTSVILLE, AL 35806 PROPERTY REPRESENTATIVE CONSULT ON PROPERTY NO COMMISSION - NO ACTIVITY IN PAST 2 YEARS + NO ACTIVITY PLANNED IN 2014 -- HARTFORD FUNDS HARTFORD, CT RESIDUAL INSURANCE COMMISSIONS FOR INVERSE SOLUTIONS. NOT ACTIVELY MANAGING. THOUGHT COMPANY HAD DISSOLVED PRIOR TO 2014, CHECKS WERE ONLY JUST FORWARDED FROM MR. LAWRENCE'S PREVIOUS EMPLOYER, GLSMITH & ASSOCIATES. -- ASHFORD ADVISORS, INC 2 RAVINIA DRIVE, SUITE 750 ATLANTA, GA 30346 THIS WAS A ONE-TIME COMMISSION FOR A PERSONAL DISABILITY POLICY. POLICY IS NO LONGER ACTIVE. CHECK WAS ONLY JUST FORWARD FROM MR. LAWRENCE'S PREVIOUS EMPLOYER, GL SMITH & ASSOCIATES. COMMISSION IS FROM FEB 2013 -- MEDICARE SUPPLEMENT PRINCIPAL O HOURS NOT ACTIVELY MANAGED, ANCILLARY TRAILS PAID MONTHLY. NO BUSINESS CARDS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Lawrence's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

July 27, 2017 - Present

ARIA WEALTH MANAGEMENT

Office #1: 100 Church Street Sw Suite 125, Huntsville, AL 35801

RIA

CRD#: 288450

Huntsville, AL

Past

June 12, 2014 - August 18, 2016

DINOSAUR FINANCIAL GROUP, L.L.C

CRD#: 104446

san jose, CA

Past

January 17, 2013 - June 3, 2014

GRADIENT SECURITIES, LLC

CRD#: 127701

HUNTSVILLE, AL

Past

December 17, 2012 - March 29, 2018

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

HUNTSVILLE, AL

Past

January 28, 2005 - December 17, 2012

ZERMATT SECURITIES LLC

RIA

CRD#: 47502

HUNTSVILLE, AL

Past

August 9, 2004 - December 17, 2012

ZERMATT SECURITIES LLC

CRD#: 47502

HUNTSVILLE, AL

Past

March 2, 1994 - August 26, 2004

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARIA WEALTH MANAGEMENT

ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA

Registered Investment Advisory firm - (7/5/2017 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(7/27/2017)

IAR

Texas
(11/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/11/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/10/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/1/1994

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARIA WEALTH MANAGEMENT

ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA

Registered Investment Advisory firm - (7/5/2017 Approved)

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Contact information

Main Address

20640 3rd Steet Suite 300, Saratoga, CA 95070

Mailing Address

Phone number

(669) 222-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARIA WEALTH PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	616
AUM (Assets Under Management)	$ 122,757,930

Red Flags

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

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Joseph S. Lawrence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Scott Lawrence's CRS (Customer Relationship Summary).

Certified licenses

Experience

DINOSAUR FINANCIAL GROUP, L.L.C

GRADIENT SECURITIES, LLC

CONCERT WEALTH MANAGEMENT

ZERMATT SECURITIES LLC

ZERMATT SECURITIES LLC

NYLIFE SECURITIES LLC

Primary Firm SEC Registration

ARIA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 63

Date: 3/11/1994

SIE

Date: 8/18/2016

Series 7

Date: 1/10/2005

Series 6

Date: 3/1/1994

Current Firm

ARIA WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARIA WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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