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JL

Joseph S. Lawrence

ARIA WEALTH MANAGEMENT
Huntsville, AL 35801
Some features on this profile are disabled
CRD#: 2457893
JL

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.
The advisor shows no other business activity.

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

BD
CRD#: 104446
san jose, CA
Past

January 17, 2013 - June 3, 2014

GRADIENT SECURITIES, LLC

BD
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

BD
CRD#: 47502
HUNTSVILLE, AL
Past

March 2, 1994 - August 26, 2004

NYLIFE SECURITIES LLC

BD
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".
AW
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)

Exams

State Security Law Exam
RR
Series 63
Date: 3/11/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/18/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/10/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/1/1994
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AW
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
10

SEC notice filing (6 States and Territories)

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

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 Accounts616
AUM (Assets Under Management)$ 122,757,930

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

ARIA WEALTH MANAGEMENT

CRD#: 288450Huntsville, AL 35801

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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