Joseph D. 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 Dewayne Smith, who also goes by Joe Smith, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 2011. Joseph had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2023 - December 31, 2023
PARTI PRIS INVESTMENT PARTNERS, INC.
October 23, 2015 - August 23, 2019
ORION PORTFOLIO SOLUTIONS, LLC
January 2, 2013 - August 2, 2013
CHARLES SCHWAB & CO., INC.
January 12, 2011 - August 10, 2012
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
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
PARTI PRIS INVESTMENT PARTNERS, INC.
CRD#: 325990 / SEC#: 801-128019
Contact information
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.
