Joseph A. Smith
Professional summary
Joseph Arthur Smith, who also goes by Joseph A Smith, is a registered financial professional currently at FEDERATED SECURITIES, INC. located in Huntington, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2000. Joseph has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Arthur Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 3, 2012 - Present
FEDERATED SECURITIES, INC.
Office #1: 680 Park Avenue, Huntington, NY 11743July 28, 2008 - October 25, 2011
MML INVESTORS SERVICES, LLC
December 20, 2006 - July 31, 2008
AMERITAS INVESTMENT COMPANY, LLC
July 25, 2005 - December 13, 2006
PARK AVENUE SECURITIES LLC
March 14, 2005 - July 21, 2005
1717 CAPITAL MANAGEMENT COMPANY
August 16, 2004 - July 21, 2005
1717 CAPITAL MANAGEMENT COMPANY
November 13, 2003 - June 29, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
April 7, 2000 - October 24, 2003
WORLDCO, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/3/2012)
(8/3/2012)
Exams
Series 55
Date: 4/17/2000
Limited Representative-Equity Trader ExamFINRA
Current Firm
FEDERATED SECURITIES, INC.
CRD#: 5050 / SEC#: , 8-15644
Contact information
FINRA licenses (13 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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