Joel Smith is a registered investment advisor, based in Northwood, OH, with 16 years of industry experience.
Location
Northwood, OH
Get directionsHistory
Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
July 2012Denied
Employment History
Current Registrations
Empower Financial Services, INC.Broker
April 2019 - Present · 7 yrs 1 mo
Empower Advisory Group, LLC
April 2019 - Present · 7 yrs 1 mo
Previous Registrations
Prudential Financial Planning Services
November 2016 - March 2019 · 2 yrs 4 mos
Pruco Securities, LLC.Broker
July 2015 - March 2019 · 3 yrs 8 mos
MML Investors Services, LLC
July 2012 - June 2015 · 2 yrs 11 mos
MML Investors Services, LLCBroker
June 2012 - June 2015 · 3 yrs
New England Securities Corporation
October 2009 - June 2012 · 2 yrs 8 mos
New England SecuritiesBroker
August 2009 - June 2012 · 2 yrs 10 mos
State Registrations4 states
INKYOHWV
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.