Austin James Joss
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
17 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
17 years in the industry.
- Bank of America, N.A.Jun 2023 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2023 to now
- Principal Securities IncApr 2021 to May 2023
- Capella UniversityAug 2020 to Mar 2021
- Principal Life Insurance CompanyDec 2019 to May 2023
- First Heartland Financial GroupDec 2018 to Mar 2020
- Edward JonesMay 2018 to May 2019
- Arch Wall SystemsMay 2017 to Aug 2017
- Iowa State UniversityApr 2017 to May 2019
- Grand View UniversityAug 2015 to Apr 2017
- Hy-veeMay 2013 to Oct 2018
- SchoolApr 2009 to May 2019
Exams passed
- Series 63 · Uniform Securities Agent State Law2019
- Series 65 · Uniform Investment Adviser Law2023
State registrations
Registered as an investment adviser representative in 2 states (IA, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6959166
- Firm CRD
- 7691