Joseph P. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Phillip Smith JR was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1969. Joseph had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2023 - March 15, 2024
KINGSWOOD CAPITAL PARTNERS, LLC
November 22, 2017 - October 10, 2023
NEWBRIDGE SECURITIES CORPORATION
July 28, 2014 - November 22, 2017
R.M. STARK & CO., INC.
February 27, 2007 - July 28, 2014
THE STRATEGIC FINANCIAL ALLIANCE, INC.
February 26, 2007 - July 28, 2014
THE STRATEGIC FINANCIAL ALLIANCE, INC.
March 13, 2003 - February 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
June 15, 2002 - February 28, 2007
WELLS FARGO CLEARING SERVICES, LLC
July 8, 1994 - June 15, 2002
WACHOVIA SECURITIES, INC.
April 4, 1989 - July 22, 1994
CITIGROUP GLOBAL MARKETS INC.
October 14, 1988 - April 11, 1989
WACHOVIA SECURITIES, INC.
October 6, 1987 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
February 17, 1976 - October 13, 1987
E. F. HUTTON & COMPANY INC
October 11, 1974 - April 8, 1976
BACHE & CO INCORPORATED
June 24, 1974 - November 16, 1974
KIDDER, PEABODY & CO., INCORPORATED
October 25, 1973 - July 26, 1974
CLARK, DODGE & CO., INCORPORATED
March 1, 1972 - November 29, 1973
LEGG MASON WOOD WALKER, INCORPORATED
August 14, 1969 - March 26, 1972
F. S. MOSELEY & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 8/2/1994
AMEX Put and Call ExamSeries 1
Date: 6/19/1967
Registered Representative ExaminationCurrent Firm
KINGSWOOD CAPITAL PARTNERS, LLC
CRD#: 288898 / SEC#: , 8-69967
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KINGSWOOD US, LLC | MEMBER | |
| ALSORAIMI, MOHAMED | CCO | 5319490 |
| GOLDEN, JAIME GALIONE | PRESIDENT - BUSINESS DEVELOPMENT AND ACQUISITIONS | 2946822 |
| NESSIM, MICHAEL HASKEL | CEO | 2573543 |
| PITKOFF, DAVID JONATHAN | CFO | 2822280 |
| RAYEVSKIY, VALERIY P | COO | 5788810 |
| ROMERO, MONIQUE VICTORIA | FINOP | 6712654 |
| WILDER, JEREMY MATHEW | CHIEF LEGAL OFFICER | 7080690 |
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.
