Joseph Allan Smith
CLU®Professional Summary
Joseph Allan Smith, CLU® was a registered financial advisor. Joseph was a previously registered financial professional and started their career in finance 1999 - 2025. Joseph had worked at 2 firms.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Who I Serve
Services Offered
- My emphasis is on finding solutions and opportunities that fit each client.
- I help clients prioritize their financial goals. Services offered include: budgeting
- broad-based plans
- cash flow planning
- charitable planning
- investment consulting
- investment management
- investment planning
- portfolio construction
- portfolio reviews
- retirement planning
- risk management
- tax planning (income
- estate & gift).
Specializations
Biography
The combination of education (formal and continuing) and experience provide insights in recognizing opportunities, finding solutions and minimizing problems. My experiences include: Internal Revenue Field Agent, tax departments of national CPA firms and creation and management of a full-service CPA firm. My interaction with each client is as if they are my only client. My passion is helping clients achieve their financial goals.
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Credentials
Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
JAS FINANCIAL SERVICES, LLC
Contact Information
Main Address
790 Frontage Rd Suite 603, Northfield, IL 60093Phone Number
(847) 328-8011# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
50AUM (Assets Under Management)
$17,556,377Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Services Offered by Joseph
- My emphasis is on finding solutions and opportunities that fit each client.
- I help clients prioritize their financial goals. Services offered include: budgeting
- broad-based plans
- cash flow planning
- charitable planning
- investment consulting
- investment management
- investment planning
- portfolio construction
- portfolio reviews
- retirement planning
- risk management
- tax planning (income
- estate & gift).
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