JS
Joseph M. Smetona
AEC TRANSACTION SERVICES LLC
MIAMI BEACH, FL 33139
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CRD#: 5875853
JS
Professional summary
Joseph Michael Smetona is a registered financial professional currently at AEC TRANSACTION SERVICES LLC located in Miami Beach, Florida.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 3 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 79 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joseph Michael Smetona'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®
NoneExperience
Current
May 22, 2024 - Present
AEC TRANSACTION SERVICES LLC
Office #1: 1111 Lincoln Road, Miami Beach, FL 33139BD
CRD#: 327839
MIAMI BEACH, FL
Past
January 30, 2024 - October 2, 2024
BA SECURITIES, LLC
BD
CRD#: 153489
W. CONSHOHOCKEN, PA
Past
July 27, 2011 - September 19, 2011
FIRST CITIZENS CAPITAL SECURITIES, LLC
BD
CRD#: 41504
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(8/21/2024)
RR
Alaska(8/8/2024)
RR
Arizona(8/23/2024)
RR
Arkansas(9/5/2024)
RR
California(6/11/2024)
RR
Colorado(6/18/2024)
RR
Connecticut(6/20/2024)
RR
Delaware(6/24/2024)
RR
Florida(6/25/2024)
RR
Georgia(7/16/2024)
RR
Hawaii(8/19/2024)
RR
Idaho(6/3/2024)
RR
Illinois(8/5/2024)
RR
Indiana(9/10/2024)
RR
Iowa(8/9/2024)
RR
Kansas(8/15/2024)
RR
Kentucky(6/10/2024)
RR
Louisiana(6/3/2024)
RR
Maine(6/13/2024)
RR
Maryland(8/22/2024)
RR
Massachusetts(8/13/2024)
RR
Michigan(8/12/2024)
RR
Minnesota(9/19/2024)
RR
Mississippi(7/30/2024)
RR
Missouri(6/20/2024)
RR
Montana(8/5/2024)
RR
Nebraska(8/13/2024)
RR
Nevada(7/26/2024)
RR
New Hampshire(6/25/2024)
RR
New Jersey(6/11/2024)
RR
New Mexico(8/21/2024)
RR
New York(5/28/2024)
RR
North Carolina(6/17/2024)
RR
North Dakota(8/9/2024)
RR
Ohio(7/2/2024)
RR
Oklahoma(7/30/2024)
RR
Oregon(6/12/2024)
RR
Pennsylvania(7/30/2024)
RR
Rhode Island(6/27/2024)
RR
South Carolina(6/7/2024)
RR
South Dakota(7/29/2024)
RR
Tennessee(6/7/2024)
RR
Texas(6/11/2024)
RR
Utah(8/7/2024)
RR
Vermont(8/13/2024)
RR
Virginia(7/12/2024)
RR
Washington(5/31/2024)
RR
West Virginia(10/2/2024)
RR
Wisconsin(8/15/2024)
RR
Wyoming(6/4/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 5/30/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/3/2024
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AT
AEC TRANSACTION SERVICES LLC
AEC TRANSACTION SERVICES LLC
CRD#: 327839 / SEC#: , 8-71142
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
28 West 44th St Suite 815, New York, NY 10036
Mailing Address
28 West 44th St Suite 815, New York, NY 10036
Phone number
(917) 828-5498
Established
Delaware since 06/09/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
AEC TRANSACTION SERVICES LLC
CRD#: 327839Miami Beach, FL 33139TRUST BUT VERIFY
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