Joy Beth Smith
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Joy Elizabeth Barganier, Joy Barganier Smith, Joy Elizabeth Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
4 years in the financial services industry
Current & Past Employments
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Current Firm
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
Contact Information
Main Address
820 Shades Creek Parkway Suite 3200, Birmingham, AL 35209Phone Number
(205) 871-9940# of Employees
10SEC notice filing (6 States and Territories)
Registered to provide investment advisory services in 6 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
365AUM (Assets Under Management)
$3,901,463,778Similar Advisors
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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.
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Primary Firm SEC Registration
JOHNSON STERLING ASSET MANAGEMENT | JOHNSON STERLING, INC. | JOHNSON STERLING RETIREMENT SERVICES | JOHNSON STERLING PAUL SECURITIES INC
State Registrations and Notice Filings
(5/31/2024)
(5/31/2024)
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.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Joy Beth Smith's CRS (Customer Relationship Summary).
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