Joseph Robert Smith

Employer firm

Tiaa-Cref Individual & Institutional Services, LLC CRD 20472

$37.9B regulatory AUM 35,647 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 08/2017 → 01/2018
  Purshe Kaplan Sterling Investments
  Albany, NY
• 08/2017 → 02/2018
  Mcadam Llc
  Boston, MA
• 05/2017 → 08/2017
  Live Nation
  Saratoga Springs, NY
• 08/2016 → 05/2017
  St. Lawrence University
  Canton, NY
• 08/2013 → 05/2017
  St. Lawrence Univeristy
  Canton, NY
• 03/2018 → 08/2022
  Citizens Bank
  Boston, MA
• 03/2018 → 08/2022
  Citizens Securities, Inc.
  Chestnut Hill, MA
• 09/2022 → Present
  Tiaa
  Nederland, CO
• 09/2022 → Present
  Tiaa-Cref Individual & Institutional Services, Llc
  Nederland, CO

Previous Registrations

• 2018-03-08 → 2022-08-12
  Citizens Securities, Inc.
  W. Roxbury, MA
  Dedham, MA
  Hudson, MA
  Woburn, MA
  Canton, MA
  Boston, MA
  Chestnut Hill, MA
• 2018-01-17 → 2018-02-14
  Mcadam Llc
  Bosto, MA
  Radnor, PA

Other Businesses

(1) RENTAL PROPERTY POSITION: property owner NATURE: collecting rental income INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2022 ADDRESS: 354 Neponset St, Unit J, Canton MA 02021, United States DESCRIPTION: collecting $2000/month rental income from a condominium. I am the sole owner. Address is 354 Neponset St, unit J, Canton, MA 02021 (2) HEAD COUNT INC POSITION: Volunteer/Team Leader NATURE: Head Count is a non-partisan organization that uses the power of music to register voters and promote participation in democracy. We reach young people and music fans where they already are - at concerts and online - to inform and empower. I will receive payments totaling $1,000.00 over the year, paid quarterly. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2018 ADDRESS: 104 West 29th Street, 11th Floor, New York NY 10001, United States DESCRIPTION: Organize events and register voters at concerts and community events

Exams

• S65 Uniform Investment Adviser Law Examination
  2018-01-08
• S63 Uniform Securities Agent State Law Examination
  2017-11-01

Other Names

• Joe Robert Smith
• Joseph Smith
• Joseph Robert Smith
• Joe Smith
• Joseph R Smith