JS
Joseph Smith
ICBC STANDARD SECURITIES
NEW YORK, NY 10036
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CRD#: 7099660
JS
Professional summary
Joseph Smith is a registered financial professional currently at ICBC STANDARD SECURITIES INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2025. Joseph has worked at 1 firm and has passed the SIE and Series 27 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 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®
NoneExperience
Current
August 6, 2025 - Present
ICBC STANDARD SECURITIES INC.
Office #1: 1185 Avenue Of The Americas Suite 1505, New York, NY 10036BD
CRD#: 35560
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
IS
ICBC STANDARD SECURITIES INC.
ICBC STANDARD SECURITIES INC. | STANDARD NEW YORK, INC | STANDARD NEW YORK SECURITIES, INC.
CRD#: 35560 / SEC#: , 8-46816
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1185 Avenue Of The Americas Suite 1505, New York, NY 10036
Mailing Address
1185 Avenue Of The Americas Suite 1505, New York, NY 10036
Phone number
(212) 407-5000
Established
Delaware since 11/03/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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