Austin James Joss

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 10/2018
  Hy-Vee
  Des Moines, IA
• 05/2017 → 08/2017
  Arch Wall Systems
  Des Moines, IA
• 05/2018 → 05/2019
  Edward Jones
  Ames, IA
• 12/2018 → 03/2020
  First Heartland Financial Group
  Clive, IA
• 04/2009 → 05/2019
  School
  Des Moines, IA
• 12/2019 → 05/2023
  Principal Life Insurance Company
  Des Moines, IA
• 04/2021 → 05/2023
  Principal Securities Inc
  Des Moines, IA
• 05/2023 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  West Des Moines, IA
• 08/2015 → 04/2017
  Grand View University
  Des Moines, IA
• 04/2017 → 05/2019
  Iowa State University
  Ames, IA
• 08/2020 → 03/2021
  Capella University
  Des Moines, IA
• 06/2023 → Present
  Bank Of America, N.A.
  West Des Moines, IA

Other Businesses

I*1817355 , Entity Type,Charitable Name of OBA:Variety - the Children's Charity Address: Des Moines,IOWA,50309 Investment Related:NO Position, Title, Association Board Member Employee Start Date: 06/01/2024 No Hours: 3 MONTHLY No Hours during trading: 0 Duties:I would be serving as an At-Large member with no responsibility revolving the money aspect. My requirement would be one 2 hour meeting a month for planning and volunteering at 3 events throughout the year.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-04-21
• S63 Uniform Securities Agent State Law Examination
  2019-10-21

Other Names

• Aj James Joss