Joshua Smail

ALLY INVEST ADVISORS

Macomb, MI

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CRD#: 4656606

Professional summary

Joshua Smail, who also goes by Joshua Allen Smail, is a registered financial advisor currently at ALLY INVEST ADVISORS located in Macomb, Michigan and ALLY INVEST SECURITIES LLC located in Lewisville, Texas.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joshua has worked at 12 firms and has passed the Series 65, Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Allen Smail

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.

Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Specialist - Invest Premier Services. Dually licensed. 07/05/2021 - Present. 0-20hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed and advisory accounts.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Smail's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 7, 2021 - Present

ALLY INVEST ADVISORS

RIA

CRD#: 170301

Macomb, MI

Current

August 6, 2021 - Present

ALLY INVEST SECURITIES LLC

Office #1: 2911 Lake Vista Drive, Lewisville, TX 75067

CRD#: 136131

Lewisville, TX

Past

March 15, 2019 - July 15, 2021

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

CLAWSON, MI

Past

March 15, 2019 - July 15, 2021

KEY INVESTMENT SERVICES LLC

CRD#: 136300

CLAWSON, MI

Past

June 9, 2017 - January 24, 2019

SPC

RIA

CRD#: 110692

ANN ARBOR, MI

Past

June 9, 2017 - January 24, 2019

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

June 29, 2016 - November 21, 2016

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

ADA, MI

Past

June 27, 2016 - November 21, 2016

USA FINANCIAL SECURITIES LLC

CRD#: 103857

ADA, MI

Past

July 28, 2015 - January 7, 2016

BLUEROCK CAPITAL MARKETS LLC

CRD#: 136974

NEW YORK, NY

Past

April 8, 2014 - October 17, 2014

LPL FINANCIAL LLC

RIA

CRD#: 6413

ROCHESTER, MI

Past

April 1, 2014 - October 17, 2014

LPL FINANCIAL LLC

CRD#: 6413

ROCHESTER, MI

Past

October 18, 2011 - April 7, 2014

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

STERLING HEIGHTS, MI

Past

October 13, 2011 - April 7, 2014

CITIZENS SECURITIES, INC.

CRD#: 39550

STERLING HEIGHTS, MI

Past

January 7, 2011 - October 5, 2011

THE HUNTINGTON INVESTMENT COMPANY

RIA

CRD#: 16986

WARREN, MI

Past

August 31, 2005 - October 5, 2011

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

WARREN, MI

Past

October 6, 2003 - August 15, 2005

CHARTER ONE SECURITIES, INC.

CRD#: 13373

CLEVELAND, OH

Past

July 18, 2003 - October 3, 2003

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

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".

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(8/6/2021)

Alaska
(8/6/2021)

Arizona
(8/6/2021)

Arkansas
(8/6/2021)

California
(8/6/2021)

Colorado
(8/6/2021)

Connecticut
(8/6/2021)

Delaware
(8/6/2021)

District of Columbia
(8/6/2021)

Florida
(8/6/2021)

Georgia
(8/6/2021)

Hawaii
(8/6/2021)

Idaho
(8/6/2021)

Illinois
(8/6/2021)

Indiana
(8/6/2021)

Iowa
(8/6/2021)

Kansas
(8/6/2021)

Kentucky
(8/6/2021)

Louisiana
(8/6/2021)

Maine
(8/6/2021)

Maryland
(8/6/2021)

Massachusetts
(8/6/2021)

Michigan
(8/6/2021)

IAR

Michigan
(10/7/2021)

Minnesota
(8/6/2021)

Mississippi
(8/6/2021)

Missouri
(8/6/2021)

Montana
(8/6/2021)

Nebraska
(8/6/2021)

Nevada
(8/6/2021)

New Hampshire
(8/6/2021)

New Jersey
(8/6/2021)

New Mexico
(8/6/2021)

New York
(8/6/2021)

North Carolina
(8/6/2021)

North Dakota
(8/6/2021)

Ohio
(8/6/2021)

Oklahoma
(8/6/2021)

Oregon
(8/6/2021)

Pennsylvania
(8/6/2021)

Puerto Rico
(8/6/2021)

Rhode Island
(8/6/2021)

South Carolina
(8/6/2021)

South Dakota
(8/6/2021)

Tennessee
(8/6/2021)

Texas
(8/6/2021)

Utah
(8/6/2021)

Vermont
(8/6/2021)

Virginia
(8/6/2021)

Washington
(8/6/2021)

West Virginia
(8/6/2021)

Wisconsin
(8/6/2021)

Wyoming
(8/6/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/29/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/19/2003

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALLY INVEST ADVISORS

CRD#: 170301 / SEC#: 801-79305

RIA

Registered Investment Advisory firm - (3/27/2014 Approved)

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Contact information

Main Address

601 S. Tryon Street Suite 100, Charlotte, NC 28202

Mailing Address

Phone number

(855) 880-2559

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLY INVEST ADVISORS FORM ADV PART 2A (8/4/2025)

Regulatory assets under management

Total Number of Accounts	76,058
AUM (Assets Under Management)	$ 1,389,572,606

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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Advisor Monitoring

Firm Stability Insights

Joshua Smail

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua Smail's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLY INVEST SECURITIES LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

SPC

SIGMA FINANCIAL CORPORATION

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

BLUEROCK CAPITAL MARKETS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

THE HUNTINGTON INVESTMENT COMPANY

THE HUNTINGTON INVESTMENT COMPANY

CHARTER ONE SECURITIES, INC.

LASALLE FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ALLY INVEST ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/29/2010

Series 66

Date: 9/19/2003

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2003

FINRA

Current Firm

ALLY INVEST ADVISORS

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLY INVEST ADVISORS

TRUST BUT VERIFY

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