Joel P. Smith

JOEL SMITH & ASSOCIATES

ATLANTA, GA 30339

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CRD#: 3118388

Professional summary

Joel Perry Smith III, who also goes by Joel Perry Smith III, Joel Perry Smith, is a registered financial advisor currently at JOEL SMITH & ASSOCIATES, LLC located in Atlanta, Georgia and CHELSEA FINANCIAL SERVICES located in Staten Island, New York.

Joel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joel has worked at 7 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joel Perry Smith Iii | Joel Perry 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.

1. JOEL SMITH & ASSOCIATES, LLC. THIS IS AN INVESTMENT RELATED BUSINESS. 3350 RIVERWOOD PARKWAY, SE, SUITE 1900, ATLANTA GA 30339. THIS IS A REGISTERED INVESTMENT ADVISOR COMPANY. I AM PRINCIPAL/CEO AND OWNER. THIS FIRST FISCAL YEAR START DATE IS JANUARY 1, 2006. 2. FBI GEORGIA LAW ENFORCEMENT EXECUTIVE DEVELOPMENT SEMINAR; NOT INVESTMENT RELATED; 184 JACK RABBIT DR #2036 WALESKA, GA 30183; TRAINING LAW ENFORCEMENT EXECUTIVES; DIRECTOR; START DATE: 1/2013; APPROX 2 HRS/MO; TAKE NOTES, BE SURE MEETING CONDUCTED ACCORDING TO BY-LAWS, HELP TRACK AND AUDIT FINANCES, NO COMPENSATION OR INVESTMENT SELECTION 3. EUHARLEE POLICE DEPARTMENT; NOT INVESTMENT RELATED; 12/2017; 24 HOURS/MONTH; 0 HOURS DURING SECURITIES HOURS; ASSIST POLICE DEPARTMENT PRIMARILY ON WEEKENDS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Perry Smith III'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

July 5, 2006 - Present

JOEL SMITH & ASSOCIATES, LLC

Office #1: 3350 Riverwood Pkwy, Se Suite 1900, Atlanta, GA 30339

RIA

CRD#: 139972

ATLANTA, GA

Current

January 3, 2025 - Present

CHELSEA FINANCIAL SERVICES

Office #1: 242 Main Street, Staten Island, NY 10307

CRD#: 47770

Staten Island, NY

Past

June 30, 2006 - December 31, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

ATLANTA, GA

Past

October 7, 2005 - July 11, 2006

LONGVIEW WEALTH MANAGEMENT

RIA

CRD#: 136214

ATLANTA, GA

Past

April 30, 2003 - October 7, 2005

FINANCIAL NETWORK CORP

RIA

CRD#: 110229

ATLANTA, GA

Past

February 26, 2003 - July 3, 2006

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

ATLANTA, GA

Past

April 8, 1999 - July 3, 2006

CETERA WEALTH SERVICES, LLC

CRD#: 13572

ATLANTA, GA

Past

September 10, 1998 - December 9, 1998

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

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.

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

IAR

Georgia
(7/5/2006)

Georgia
(1/3/2025)

Maine
(1/3/2025)

South Carolina
(1/3/2025)

Tennessee
(1/3/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/14/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/12/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/9/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

JOEL SMITH & ASSOCIATES, LLC

CRD#: 139972 / SEC#:

Georgia

Registered Investment Advisory firm - (7/5/2006 Approved)

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Contact information

Main Address

3350 Riverwood Parkway Se Suite 1900, Atlanta, GA 30339

Mailing Address

Phone number

(678) 627-8300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	83
AUM (Assets Under Management)	$ 17,582,412

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.

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Firm Stability Insights

Joel P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joel Perry Smith III's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHELSEA FINANCIAL SERVICES

PURSHE KAPLAN STERLING INVESTMENTS

LONGVIEW WEALTH MANAGEMENT

FINANCIAL NETWORK CORP

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1998

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 5/12/1999

Series 6

Date: 9/9/1998

FINRA

Current Firm

JOEL SMITH & ASSOCIATES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JOEL SMITH & ASSOCIATES, LLC

TRUST BUT VERIFY

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