Carl J. Smith

CJS FINANCIAL ADVISERS / CJSF ADVISERS

Nashua, NH 03062

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CRD#: 2490551

Professional summary

Carl Joseph Smith is a registered financial advisor currently at CJS FINANCIAL ADVISERS / CJSF ADVISERS located in Nashua, New Hampshire.

Carl is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Carl has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) CJS FINANCIAL CORP.(DBA):- 1 Tara Blvd, Ste. 200, Nashua, NH 03062. PRESIDENT & CEO. THE COMPANY IS SET UP FOR BRANCH OFFICE-RELATED EXPENSES. Not investment related. 2) CJS FINANCIAL ADVISORS (DBA: CORPORATION/FLORIDA,REGISTERED INVESTMENT ADVISER, INSURANCE AGENCY/FIXED INSURANCE, PRESIDENT/ADVISOR/OWNER, 12/2012 Investment related. 3) MY CASTLE REAL ESTATE, LLC/REGENCY REALTY: BOCA RATON, FLORIDA, 6/1/2014, REAL ESTATE SALES, LICENSED REAL ESTATE SALES ASSOCIATE. 1% DURING REGULAR BUSINESS HOURS Not investment related. 4) BROAD STREET INC. (f/k/a CJS Technology funds) 9/2015 - PRESENT), 211 N. MAIN STREET, GREENVILLE, SC 29601, SENIOR MANAGING DIRECTOR, PRIVATE FUND. 99% OF MR SMITH'S BUSINESS HOURS ARE SPENT WITH BROAD STREET. Investment related. 5) BSGCS LLC 251 LITTLE FALLS DRIVE, WILMINGTON, DE 19808, MANAGING MEMBER, HOLDING COMPANY. NO HOURS ARE COMMITTED TO THIS COMPANY. Not investment related. 6) SHAMROCK SEASONAL SERVICES LLC, 19 OAK ST, WINDHAM, NH 03087. CO-OWNER OF A FAMILY OWNED LANDSCAPING SERVICE / SEASONAL SERVICES. NO HOURS ARE EXPENDED DURING REGULAR BUSINESS HOURS. Not Investment Related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carl Joseph 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

February 15, 2013 - Present

CJS FINANCIAL ADVISERS / CJSF ADVISERS

Office #1: 1 Tara Boulevard Ste. 200, Nashua, NH 03062

RIA

CRD#: 162503

Nashua, NH

Past

August 4, 2016 - June 22, 2017

PRIMEX

CRD#: 29394

Coral Springs, FL

Past

March 17, 2014 - March 24, 2016

NFSG CORPORATION

RIA

CRD#: 130814

CORAL SPRINGS, FL

Past

December 23, 2008 - February 21, 2013

NFSG CORPORATION

RIA

CRD#: 130814

BOCA RATON, FL

Past

November 13, 2008 - June 30, 2016

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

CORAL SPRINGS, FL

Past

June 22, 2007 - November 14, 2008

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

ELMHURST, IL

Past

February 14, 2000 - November 14, 2008

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

CORAL SPRINGS, FL

Past

August 12, 1997 - November 29, 1999

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ATLANTA, GA

Past

October 11, 1996 - August 12, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Past

August 10, 1995 - October 14, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

June 13, 1995 - August 11, 1995

JOSEPH ROBERTS & CO., INC.

CRD#: 15971

POMPANO BEACH, FL

Past

July 6, 1994 - May 10, 1995

JOSEPH STEVENS & CO., INC.

CRD#: 35459

BROOKLYN, NY

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

Florida
(2/15/2013)

IAR

New Hampshire
(12/18/2018)

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

IAR

Series 65

Date: 3/16/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/22/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/5/1994

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/23/2001

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/7/1998

General Securities Principal Examination

Current Firm

CJS FINANCIAL ADVISERS / CJSF ADVISERS

CJS FINANCIAL ADVISERS / CJSF ADVISERS | CJS FINANCIAL CORP. | CJS FINANCIAL ADVISORS

CRD#: 162503 / SEC#:

Florida

Registered Investment Advisory firm - (2/15/2013 Approved)

New Hampshire

Registered Investment Advisory firm - (8/24/2018 Approved)

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Contact information

Main Address

1 Tara Boulevard Ste. 200, Nashua, NH 03062

Mailing Address

Phone number

(954) 825-0309

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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

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Firm Stability Insights

Carl J. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PRIMEX

NFSG CORPORATION

NFSG CORPORATION

NEWBRIDGE SECURITIES CORPORATION

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

J.P. TURNER & COMPANY, L.L.C.

ARGENT SECURITIES, INC.

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

JOSEPH ROBERTS & CO., INC.

JOSEPH STEVENS & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/16/2007

Series 63

Date: 7/22/1994

SIE

Date: 6/22/2017

Series 7

Date: 7/5/1994

Series 4

Date: 7/23/2001

Series 24

Date: 8/7/1998

Current Firm

CJS FINANCIAL ADVISERS / CJSF ADVISERS

Contact information

Documents

Red Flags

Company Information

CJS FINANCIAL ADVISERS / CJSF ADVISERS

TRUST BUT VERIFY

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