JS
Joy B. Smith
JOHNSON STERLING
Birmingham, AL 35209
Some features on this profile are disabled
CRD#: 7494881
JS
Professional summary
Joy Beth Smith, who also goes by Joy Elizabeth Barganier, Joy Barganier Smith, Joy Elizabeth Smith, is a registered financial advisor currently at JOHNSON STERLING, INC. located in Birmingham, Alabama.
Joy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Joy has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joy Elizabeth Barganier | Joy Barganier Smith | Joy Elizabeth 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) POWER OF ATTORNEY FOR MOTHER, LINDA SUSAN CUMBIE BARGANIER AND TRUSTEE OF DAUGHTER'S TRUST, THE DOROTHY CALLOWAY SMITH IRREVOCABLE TRUST 2) KIWANIS CLUB OF HOMEWOOD/MTN BROOK MEETS AT HOMEWOOD PUBLIC LIBRARY 1721 OXMOOR ROAD BIRMINGHAM, AL 35209, BOARD OF DIRECTORS, HELP TO PLAN ACTIVITIES OF THE CLUB. ATTEND MEETINGS AND VOLUNTEER ACTIVITIES. 1/24/2023, 5HRS/MO, NON-INVESTMENT RELATED. 3) HOMEWOOD PUBLIC LIBRARY 1721 OXMOOR RD, BIRMINGHAM, AL 35209, HOMEWOOD AL PUBLIC LIBRARY FOUNDATION BOARD, BOARD MEMBER- HELP EXECUTE FUNDRAISERS FOR THE LIBRARY. I DO NOT PROVIDE FINANCIAL ADVICE TO THE ORGANIZATION. MEMBER OF THE INVESTMENTS COMMITTEE - HELP OVERSEE THE FOUNDATION'S EVALUATION OF CONTEMPLATED INVESTMENTS ON BEHALF OF THE BOARD AND REPORT THE RESULTS OF SAID INVESTMENTS TO THE BOARD. 2/22/2023, 2HRS/MO, NON-INVESTMENT RELATED. 4) REALTY BENEFIT SERVICES 210 LAKE DRIVE EAST, SUITE 310 CHERRY HILL, NJ 08002, SALES ASSOCIATE, SALES OF TAX ACCOUNT PROGRAM FOR WHICH REALTY BENEFITS SERVICES COLLECTS THE ADMINISTRATION FEE, 02/22/2023, 10HRS/MO. 5) DERGALIS ASSOCIATES LLC 210 LAKE DRIVE EAST, SUITE 310 CHERRY HILL, NJ 08002, SALES ASSOCIATE, SALES OF GROUP AND INDIVIDUAL ANCILLARY PRODUCTS, 03/02/2023, 10 HRS/MO.
CRS (Client Relationship Summary) - RIA
Click below to view Joy Beth 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
May 31, 2024 - Present
JOHNSON STERLING, INC.
Office #1: 820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209RIA
CRD#: 106379
Birmingham, AL
Past
February 28, 2022 - May 9, 2024
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
HOMEWOOD, AL
Past
February 1, 2022 - May 9, 2024
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
HOMEWOOD, AL
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".
JS
JOHNSON STERLING, INC.
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
CRD#: 106379 / SEC#: 801-49811
RIA
Registered Investment Advisory firm - (9/5/1995 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.Highlighted states indicate IAR registrations
IAR
Alabama(5/31/2024)
IAR
Texas(5/31/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
JS
JOHNSON STERLING, INC.
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
CRD#: 106379 / SEC#: 801-49811
RIA
Registered Investment Advisory firm - (9/5/1995 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209
Mailing Address
Phone number
(205) 871-9940
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 388 |
| AUM (Assets Under Management) | $ 3,337,550,034 |
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.
Company Information
JOHNSON STERLING, INC.
CRD#: 106379Birmingham, AL 35209TRUST BUT VERIFY
Monitor Joy Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
