Joffrey Adam Smith

Current Employers

Employment History

• 10/2012 → 06/2018
  Lpl Financial Llc
  Worcester, MA
• 10/2014 → Present
  The Patriot Financial Group, Llc
  Worcester, MA
• 06/2018 → 12/2022
  Securities America, Inc.
  Worcester, MA
• 10/2014 → Present
  Joffrey Smith Financial Group/The Patriot Financial Group, Llc
  Worcester, MA
• 12/2022 → 03/2023
  Cetera Financial Specialists Llc
  Schaumburg, IL

Previous Registrations

• 2013-01-04 → 2014-10-14
  Private Advisor Group, Llc
  Worcester, MA
  Morristown, NJ

Other Businesses

1.ACTOR/MODEL, NOT INVESTMENT RELATED, WORCESTER, MA, OWNER, INDEPENDENT CONTRACTOR, 2H/WEEK, SINCE 06/2002 2.JOFFREY SMITH CONSULTING, INVESTMENT RELATED, WORCESTER, MA PAID CONSULTANT FOR BUSINESSES, 1H/WEEK, SINCE 08/2021 3.ESTATE AND BUSINESS PLANNING COUNCIL OF WORCESTER COUNTY, NOT INVESTMENT RELATED, WORCESTER, MA, PRESIDENT, HELP PLAN MEETINGS FOR MEMBERS, GROW AWARENESS OF THE GROUP AMONG PROFESSIONALS WHO ENGAGE IN ESTATE PLANNING, 0.2H/WEEK, SINCE 05/2017 4.THE HOURGLASS FOUNDATION, NOT INVESTMENT RELATED, SHREWSBURY, MA, BOARD MEMBER, HELP CHARITY TO RAISE DONATIONS AND DISTRIBUTE PROCEEDS EACH YEAR, 0.1H/WEEK, SINCE 11/2011 5.MASONIC ANGEL FUND, NOT INVESTMENT RELATED, SHREWSBURY, MA, BOARD MEMBER, RAISE MONEY AND DISTRIBUTE FUNDS TO CHILDREN IN NEED, 0.1H/WEEK, SINCE 06/2010. 6.JOFFREY SMITH FINANCIAL GROUP/THE PATRIOT FINANCIAL GROUP, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, DBAS: THE PATRIOT FINANCIAL GROUP, LLC, REGISTERED INVESTMENT ADVISER, FINANCIAL PLANNING, ASSET MANAGEMENT, 30H/WEEK, 25H/WEEK DURING TRADING HOURS, SINCE 10/2014. 7.SALES OF INSURANCE, NOT INVESTMENT RELATED, LIFE, HEALTH, DISABILITY, FIXED ANNUITIES, LONG-TERM CARE, DENTAL, VISION, STOP LOSS INSURANCE, SINCE 01/2003, 10H/WEEK, 3H/WEEK DURING TRADING HOURS 8.8 NORWICH STREET, LLC, INVESTMENT RELATED, ADDRESS SAME AS REGISTERED BRANCH, OWNER, MAINTAINING, RENTING OUT COMMERCIAL OFFICE BUILDING, 1H/WEEK, SINCE 04/2022. 9.WORCESTER ART MUSEUM, NOT INVESTMENT RELATED, 55 SALISBURY ST, WORCESTER, MA, WORCESTER ART MUSEUM CORPORATOR, ENSURE THE CONTINUATION OF THEMUSEUM TO COLLECT, PRESERVE, EXHIBIT AND EDUCATE, 0.1H/WEEK, SINCE 01/2019. 10.WORCESTER ART MUSEUM, NOT INVESTMENT RELATED, 55 SALISBURY ST, WORCESTER, MA, CO-CHAIR OF THE WORCESTER ART MUSEUM BUSINESS PARTNER COMMITTEE, PROMOTE MUSEUM, FACILITATE DONATIONS/PARTNERSHIP WITH LEADING BUSINESSES, 0.1H/WEEK, SINCE 05/2021. 11. CONCORDIA EXCHANGE, INC. POSITION: CEO NATURE: Mr. Smith is the CEO of Concordia Exchange, Inc. He leads the Insurtech company, which partners with insurance brokers and organizations to help reduce employee group insurance costs through their online reverse auction exchange. INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 5 START DATE: 04/01/2021 ADDRESS: 37 Barry Rd., Worcester MA 01609 DESCRIPTION: Mr. Smith will be involved with all aspects of the business, including strategy, sales, and operations. 12. Joffrey Adam Smith is a Board of Directors member at Worcester Economic Club; Investment related: No; Location: 311 Main St., Suite 200 Worcester MA 01608; Start date: 2024-06-27; Description: The Worcester Economic Club is an association of professional men and women in the Worcester County area. The Club's objective is to provide a forum for the discussion of economic, civic, educational, and sociological subjects of interest to our membership. Responsibilities Duties: Attend meetings, help with the organization's strategic direction, and vote on issues before the Board; 0 Hours per month during trading hours;1 Hours per month outside trading hours; 13. JOFFREY ADAM SMITH is the Board Member at Worcester Club; Investment related: No; Location:1 Oak St. Worcester MA 01609; Start date: 2024-06-27; Description o business: The Club is proud of its heritage and reputation as Worcester's premier private, social club. Housed in the former Isaac Davis mansion at One Oak Street, Responsibilities Duties: Attend Board meetings; 0 Hours per month during trading hours;1 Hours per month outside trading hours;

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-12-28
• S63 Uniform Securities Agent State Law Examination
  2003-05-13

Designations

Other Names

• Smith