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Joseph Aloysius Smith

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Albany, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2026-07-06
  • NY RA
    APPROVED
    Since 2026-07-06

Branch Locations

69 State St, Albany, NY 12207 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
C.L. King & Associates Albany NY 02/2010 03/2019
Samuel A. Ramirez & Co., Inc. New York NY 03/2019 06/2026
Merrill Lynch, Pierce, Fenner & Smith Incorporated Albany NY 06/2026 Present
Bank Of America, N.A. Albany NY 07/2026 Present
  • 02/2010 → 03/2019
    C.L. King & Associates
    Albany, NY
  • 03/2019 → 06/2026
    Samuel A. Ramirez & Co., Inc.
    New York, NY
  • 06/2026 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Albany, NY
  • 07/2026 → Present
    Bank Of America, N.A.
    Albany, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-11-17
S63 Uniform Securities Agent State Law Examination 1989-09-09
  • S65 Uniform Investment Adviser Law Examination
    2025-11-17
  • S63 Uniform Securities Agent State Law Examination
    1989-09-09

View on SEC IAPD

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Other Offices

ALLSQUARE WEALTH MANAGEMENT, LLC · ALBANY, NY
CETERA INVESTMENT ADVISERS LLC · ALBANY, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Albany, NY
MPWM ADVISORY SOLUTIONS LLC · ALBANY, NY
CITIZENS SECURITIES, INC. · ALBANY, NY
LPL FINANCIAL LLC · ALBANY, NY
THE AFFINITY GROUP, LLC · ALBANY, NY
WELLS FARGO CLEARING SERVICES, LLC · ALBANY, NY

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