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Current Employers
Ally Invest Advisors

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2021-10-07
  • MI RA
    APPROVED
    Since 2021-10-07

Branch Locations

601 S. Tryon Street Suite 100, Charlotte, NC 28202 • United States

Macomb, MI • 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
Usa Financial Ada MI 05/2016 11/2016
Sigma Financial Corporation Ann Arbor MI 06/2017 01/2019
Spc Ann Arbor MI 06/2017 01/2019
Unemployed Macomb MI 12/2016 05/2017
Key Investment Services Dayton OH 03/2019 07/2021
Ally Invest Securities Llc Charlotte NC 07/2021 Present
  • 05/2016 → 11/2016
    Usa Financial
    Ada, MI
  • 06/2017 → 01/2019
    Sigma Financial Corporation
    Ann Arbor, MI
  • 06/2017 → 01/2019
    Ann Arbor, MI
  • 12/2016 → 05/2017
    Unemployed
    Macomb, MI
  • 03/2019 → 07/2021
    Key Investment Services
    Dayton, OH
  • 07/2021 → Present
    Ally Invest Securities Llc
    Charlotte, NC
Previous Registrations
Other Businesses

Ally Invest Advisors. Investment related. 601 S Tryon Street Charlotte NC 28202. Specialist - Invest Premier Services. Dually licensed. 07/05/2021 - Present. 0-20hrs/month. Support both Ally Invest Securities and Ally Invest Advisors in a dually licensed capacity. Responsibilities include servicing Ally Invest customers who may hold self-directed and advisory accounts.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-12-29
S66 Uniform Combined State Law Examination 2003-09-19
  • S65 Uniform Investment Adviser Law Examination
    2010-12-29
  • S66 Uniform Combined State Law Examination
    2003-09-19
Other Names
  • Joshua Allen Smail

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