Joel Almeida
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.
Joel Almeida, who also goes by Joel A Almeida, Joel Anthony Almeida, Joel Almeida, was a registered financial professional .
Joel is a previously registered financial professional and started their career in finance in 2003. Joel had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2020 - October 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 2020 - October 11, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2019 - April 1, 2020
ARETE WEALTH MANAGEMENT, LLC
July 10, 2018 - August 15, 2019
KINGSWOOD CAPITAL PARTNERS, LLC
September 1, 2017 - May 29, 2018
ACCELERATED CAPITAL GROUP
May 18, 2017 - August 17, 2017
MML INVESTORS SERVICES, LLC
April 10, 2014 - February 7, 2017
CHARLES SCHWAB & CO., INC.
August 29, 2013 - February 21, 2014
PARK AVENUE SECURITIES LLC
November 10, 2010 - September 1, 2011
ALLSTATE FINANCIAL SERVICES, LLC
October 15, 2009 - September 29, 2010
MML INVESTORS SERVICES, LLC
May 6, 2008 - September 22, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
April 30, 2008 - June 19, 2009
PRINCIPAL SECURITIES, INC.
June 6, 2005 - March 6, 2008
MML INVESTORS SERVICES, LLC
April 10, 2003 - June 13, 2005
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
