Joffrey A. Smith
THE PATRIOT FINANCIAL GROUP
Worcester, MA 01608
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CRD#: 4625300
Professional summary
Joffrey Adam Smith, CFP®, ChFC®, CLU®, who also goes by Smith, is a registered financial advisor currently at THE PATRIOT FINANCIAL GROUP, LLC located in Worcester, Massachusetts.
Joffrey is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Joffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Smith
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.
1.ACTOR/MODEL, NOT INVESTMENT RELATED, WORCESTER, MA, OWNER, INDEPENDENT CONTRACTOR, 2H/WEEK, SINCE 06/2002 2.JOFFREY SMITH CONSULTING, INVESTMENT RELATED, WORCESTER, MA PAID CONSULTANT FOR BUSINESSES, 1H/WEEK, SINCE 08/2021 3.ESTATE AND BUSINESS PLANNING COUNCIL OF WORCESTER COUNTY, NOT INVESTMENT RELATED, WORCESTER, MA, PRESIDENT, HELP PLAN MEETINGS FOR MEMBERS, GROW AWARENESS OF THE GROUP AMONG PROFESSIONALS WHO ENGAGE IN ESTATE PLANNING, 0.2H/WEEK, SINCE 05/2017 4.THE HOURGLASS FOUNDATION, NOT INVESTMENT RELATED, SHREWSBURY, MA, BOARD MEMBER, HELP CHARITY TO RAISE DONATIONS AND DISTRIBUTE PROCEEDS EACH YEAR, 0.1H/WEEK, SINCE 11/2011 5.MASONIC ANGEL FUND, NOT INVESTMENT RELATED, SHREWSBURY, MA, BOARD MEMBER, RAISE MONEY AND DISTRIBUTE FUNDS TO CHILDREN IN NEED, 0.1H/WEEK, SINCE 06/2010. 6.JOFFREY SMITH FINANCIAL GROUP/THE PATRIOT FINANCIAL GROUP, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBAS: THE PATRIOT FINANCIAL GROUP, LLC, REGISTERED INVESTMENT ADVISER, FINANCIAL PLANNING, ASSET MANAGEMENT, 30H/WEEK, 25H/WEEK DURING TRADING HOURS, SINCE 10/2014. 7.SALES OF INSURANCE, NOT INVESTMENT RELATED, LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, LONG-TERM CARE, DENTAL, VISION, STOP LOSS INSURANCE, SINCE 01/2003, 10H/WEEK, 3H/WEEK DURING TRADING HOURS 8.8 NORWICH STREET, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, MAINTAINING, RENTING OUT COMMERCIAL OFFICE BUILDING, 1H/WEEK, SINCE 04/2022. 9.WORCESTER ART MUSEUM, NOT INVESTMENT RELATED, 55 SALISBURY ST, WORCESTER, MA, WORCESTER ART MUSEUM CORPORATOR, ENSURE THE CONTINUATION OF THEMUSEUM TO COLLECT, PRESERVE, EXHIBIT AND EDUCATE, 0.1H/WEEK, SINCE 01/2019. 10.WORCESTER ART MUSEUM, NOT INVESTMENT RELATED, 55 SALISBURY ST, WORCESTER, MA, CO-CHAIR OF THE WORCESTER ART MUSEUM BUSINESS PARTNER COMMITTEE, PROMOTE MUSEUM, FACILITATE DONATIONS/PARTNERSHIP WITH LEADING BUSINESSES, 0.1H/WEEK, SINCE 05/2021. 11. CONCORDIA EXCHANGE, INC. POSITION: CEO NATURE: Mr. Smith is the CEO of Concordia Exchange, Inc. He leads the Insurtech company, which partners with insurance brokers and organizations to help reduce employee group insurance costs through their online reverse auction exchange. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2021 ADDRESS: 37 Barry Rd., Worcester MA 01609 DESCRIPTION: Mr. Smith will be involved with all aspects of the business, including strategy, sales, and operations. 12. Joffrey Adam Smith is a Board of Directors member at Worcester Economic Club; Investment related: No; Location: 311 Main St., Suite 200 Worcester MA 01608; Start date: 2024-06-27; Description: The Worcester Economic Club is an association of professional men and women in the Worcester County area. The Club's objective is to provide a forum for the discussion of economic, civic, educational, and sociological subjects of interest to our membership. Responsibilities Duties: Attend meetings, help with the organization's strategic direction, and vote on issues before the Board; 0 Hours per month during trading hours;1 Hours per month outside trading hours; 13. JOFFREY ADAM SMITH is the Board Member at Worcester Club; Investment related: No; Location:1 Oak St. Worcester MA 01609; Start date: 2024-06-27; Description o business: The Club is proud of its heritage and reputation as Worcester's premier private, social club. Housed in the former Isaac Davis mansion at One Oak Street, Responsibilities Duties: Attend Board meetings; 0 Hours per month during trading hours;1 Hours per month outside trading hours;
CRS (Client Relationship Summary) - RIA
Click below to view Joffrey Adam 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®
CFP®
Start date: 2015
Experience
Current
October 6, 2014 - Present
THE PATRIOT FINANCIAL GROUP, LLC
Office #1: 8 Norwich Street, Worcester, MA 01608RIA
CRD#: 172470
Worcester, MA
Past
December 15, 2022 - March 7, 2023
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
WORCESTER, MA
Past
June 29, 2018 - December 15, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
WORCESTER, MA
Past
January 4, 2013 - October 14, 2014
PRIVATE ADVISOR GROUP, LLC
RIA
CRD#: 155216
WORCESTER, MA
Past
October 12, 2012 - July 3, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
WESTBOROUGH, MA
Past
March 3, 2010 - October 22, 2012
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
WORCESTER, MA
Past
March 6, 2003 - March 6, 2009
NYLIFE SECURITIES LLC
BD
CRD#: 5167
WORCESTER, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)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
Louisiana(7/28/2015)
IAR
Massachusetts(10/20/2014)
IAR
Texas(10/6/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TP
THE PATRIOT FINANCIAL GROUP, LLC
603 FINANCIAL ADVISORS, LLC | YAI AND CO. FINANCIAL SERVICES | WAYPOINT WEALTH MANAGEMENT | VISPER WEALTH MANAGEMENT, LLC | UNIFIED LEGACY ADVISORS | TWIN CITY FINANCIAL GROUP | TRIPENSION ASSOCIATES | THE PRIVATE WEALTH MANAGEMENT GROUP | THE PATRIOT GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP, LLC | THE PATRIOT FINANCIAL GROUP OF TEXAS | THE PATRIOT FINANCIAL GROUP INSURANCE AGENCY, LLC | THE PATRIOT FINANCIAL GROUP | TAMAGNI ADVISORY GROUP | SUMMIT STAR ADVISORY | STERLING ENDEAVOR WEALTH MANAGEMENT | SPECIAL NEEDS FINANCIAL PLAN, LLC | SCHWARTZ FINANCIAL SERVICES, INC. | RULE FINANCIAL SERVICES | RSD FINANCIAL | ROLLOVER ADVISORY SERVICES | ROLLOVER ADVISORS MA | RIVERSIDE WEALTH MANAGEMENT | RIVERSIDE RETIREMENT ADVISORS, LLC | RIVERSIDE INVESTMENT SERVICES | RETIREMENT INCOME PLANNING ASSOCIATES | RANZIE, ROSEMARIE | PROVO WEALTH MANAGEMENT GROUP | PROVO FINANCIAL SERVICES | PETERKIN ADVISORY SERVICES | PATRIOT RETIREMENT PLAN PARTNERS | PATRIOT PARTNERS SERVICES | NEW ENGLAND RETIREMENT SOLUTIONS, LLC | MERRIMACK VALLEY WEALTH MANAGEMENT | MENT FINANCIAL GROUP | MCLAUGHLIN FINANCIAL CONSULTING | MCGRATH ADVISORS INC | LIGHT WEALTH MANAGEMENT | LEGACY WEALTH MANAGEMENT | JPS FINANCIAL | JOFFREY SMITH FINANCIAL GROUP | IVY WEALTH MANAGEMENT, INC | IVY WEALTH ADVISORS | IVY RETIREMENT SOLUTIONS | IVY FINANCIAL FITNESS | INDUS FINANCIAL | HAYDEN WEALTH MANAGEMENT | GREYHOUND FINANCIAL | GOOD HABITS FINANCIAL | GENERATIONS ADVISORY GROUP | GALLI FINANCIAL GROUP | FLEX FINANCIAL PLANNING | ECHELON PLANNING GROUP | ECHELON FINANCIAL SERVICES | DKH INVESTMENT ADVISORS | DF MURPHY LIFE INSURANCE AGENCY | CREATIVE FINANCIAL SERVICES | CORNER OFFICE FINANCIAL LLC | CORNER OFFICE ADVISORY GROUP | COMPREHENSIVE WEALTH PLANNERS AT DEAN BANK | COMPREHENSIVE WEALTH MANAGEMENT | CLARITY PRIVATE WEALTH | CHILDS FINANCIAL SERVICES | CHANCELLOR WEALTH ADVISORS | CHAMPION FINANCIAL GROUP | CASTLE HILL ADVISORY SERVICES | BW FINANCIAL SERVICES | BROWN & ASSOCIATES WEALTH MANAGEMENT | BOSTON INDEPENDENCE GROUP | BLACK DIAMOND ADVISORY SERVICES LLC | BCA ADVISORY GROUP | BANK GLOUCESTER INVESTMENT ADVISORY SERVICES | BANK GLOUCESTER FINANCIAL SERVICES | B&D ADVISORS | ATLANTIC WEALTH MANAGEMENT | ASCUTNEY FINANCIAL GROUP | ALPHA PARTNERS ADVISORY | ALDER TREE FINANCIAL
CRD#: 172470 / SEC#: 801-80245
RIA
Registered Investment Advisory firm - (9/9/2014 Approved)Rhode Island
Registered Investment Advisory firm - (7/23/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
55 West Street Suite 201, Walpole, MA 02081
Mailing Address
Phone number
(508) 251-6100
Established
Firm type
Fiscal year end
# of Employees
62
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7,135 |
| AUM (Assets Under Management) | $ 2,405,488,420 |
Red Flags
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Company Information
THE PATRIOT FINANCIAL GROUP, LLC
CRD#: 172470Worcester, MA 01608TRUST BUT VERIFY
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