Joseph A. Smith

JAS FINANCIAL SERVICES

Northfield, IL 60093

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CRD#: 3246986

Professional summary

Joseph Allan Smith, CLU® is a registered financial advisor currently at JAS FINANCIAL SERVICES, LLC located in Northfield, Illinois.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Joseph has worked at 2 firms .

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.

Question & Answer

What are your service offerings?

My emphasis is on finding solu...

I help clients prioritize thei...

Do you have an area of expertise or specialization?

High Net Worth Client Needs

Investment Advice without Ongo...

Middle Income Client Needs

Retirement Plan Investment Adv...

Retirement Planning & Distribu...

Tax Planning

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Allan 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®

CLU^®

Chartered Life Underwriter

Experience

Current

February 20, 2009 - Present

JAS FINANCIAL SERVICES, LLC

Office #1: 790 Frontage Rd Suite 603, Northfield, IL 60093

RIA

CRD#: 149448

Northfield, IL

Past

August 9, 1999 - December 31, 2007

JAS FINANCIAL SERIVCES, INC.

RIA

CRD#: 119830

CINCINNATI, OH

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

Illinois
(2/20/2009)

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

Current Firm

JAS FINANCIAL SERVICES, LLC

CRD#: 149448 / SEC#:

Illinois

Registered Investment Advisory firm - (2/20/2009 Approved)

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Contact information

Main Address

790 Frontage Rd Suite 603, Northfield, IL 60093

Mailing Address

Phone number

(847) 328-8011

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 17,556,377

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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Joseph A. Smith

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

JAS FINANCIAL SERVICES, LLC

JAS FINANCIAL SERIVCES, INC.

State Registrations and Notice Filings

Exams

Current Firm

JAS FINANCIAL SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

JAS FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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