Individual Firm
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JOSHUA ANDREW SMITH
CRD#: 4741132
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 TWO URBAN CENTER
4890 W KENNEDY BLVD #800
TAMPA, FL 33609
4890 W KENNEDY BLVD #800
TAMPA, FL 33609
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Arizona 4/5/2023
B
New Jersey 9/17/2024
IA
Arizona 4/17/2023
IA
New Jersey 9/18/2024
B
Florida 12/5/2022
B
North Carolina 5/1/2023
IA
Florida 3/30/2023
IA
North Carolina 5/9/2023
B
Maryland 1/5/2023
B
Virginia 9/9/2024
IA
Maryland 9/7/2023
IA
Virginia 9/9/2024
SRO Registrations
B
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IA
Registered with this firm since 3/30/2023
B
Registered with this firm since 12/5/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/09/2007 - 12/08/2022 | TAMPA, FL | |
B | 09/19/2007 - 12/08/2022 | TAMPA, FL |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.