Branch offices
2 offices
FINRA: Small firm
CRD #139972 · FINRA BrokerCheck + SEC IAPD
Joel Smith & Associates, LLC
Joel Smith & Associates, LLC has not yet been reviewed by PlainAdvisorCheck. Check FINRA BrokerCheck directly for its current disclosure record.
- Not yet reviewed
- Safety grade
- 2
- branch offices
PlainAdvisorCheck rating n/a - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.
Data updated July 2026
Total disclosures
0 events
On FINRA BrokerCheck
Regulatory events
0 actions
On FINRA BrokerCheck
Disclosures per office
0.00 per office
0 ÷ 2 offices
Firm Details
- Firm Size
- Small
- CRD Number
- 139972
Mid-pack disclosure profile
What the record shows for Joel Smith & Associates, LLC
Joel Smith & Associates, LLC (broker-dealer, CRD# 139972) operates 2 branch offices with 0 disclosures as of July 2026.
Joel Smith & Associates, LLC carries 0 disclosures across 2 offices (clean record, Grade N/A). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.
Educational data summary for informational purposes - not financial advice. Review Joel Smith & Associates, LLC's underlying FINRA BrokerCheck detail before engaging.
Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data
Frequently Asked Questions
What does a grade of N/A mean for Joel Smith & Associates, LLC?
Joel Smith & Associates, LLC has not yet been graded by PlainAdvisorCheck. Grades are size-normalized against FINRA BrokerCheck disclosure records once a firm's detail record has been reviewed -- check back soon, or view the live record on FINRA BrokerCheck.
How many FINRA disclosures does Joel Smith & Associates, LLC have?
PlainAdvisorCheck has not yet pulled Joel Smith & Associates, LLC's detailed disclosure record from FINRA BrokerCheck. View the live record directly on FINRA BrokerCheck at brokercheck.finra.org using CRD number 139972.
How big is Joel Smith & Associates, LLC?
Joel Smith & Associates, LLC operates 2 branch offices and is classified by FINRA as a small firm (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Joel Smith & Associates, LLC's disciplinary record?
You can verify Joel Smith & Associates, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 139972. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event on a broker-dealer's record, including regulatory actions, customer complaints, arbitration proceedings, and civil court events. Disclosures are part of the public record maintained by FINRA and do not necessarily indicate wrongdoing or proven violations.
Read with this firm
- 1031 Securities Inc. (MI) - 0.00 disclosures/office, nearest small firm peer to Joel Smith & Associates, LLC's 0.00
- 16 Points LLC (PR) - 0.00 disclosures/office, nearest small firm peer to Joel Smith & Associates, LLC's 0.00
- 1851 Securities, Inc (CT) - 0.00 disclosures/office, nearest small firm peer to Joel Smith & Associates, LLC's 0.00
- How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade N/A firm like Joel Smith & Associates, LLC.
- Reading BrokerCheck Reports - How Joel Smith & Associates, LLC's 0.00 disclosures-per-office figure is derived.
- Most Disclosures - Raw disclosure-volume leaders for context next to Joel Smith & Associates, LLC.
- Compare firms - put Joel Smith & Associates, LLC next to peers on grade and footprint.
Read our methodology - how this data is sourced, computed, and verified.
Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.
Every figure on PlainAdvisorCheck is rendered directly from FINRA BrokerCheck and SEC IAPD disciplinary records, no number is typed in by an editor. This page draws directly on FINRA BrokerCheck and SEC IAPD data, no figure is typed in by an editor. See our editorial standards & corrections policy, the methodology behind these numbers, or report a data error. Data current as of July 2026.