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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

Joshua Smail

Advisor at ALLY INVEST ADVISORS

Macomb, MI | CHARLOTTE, NC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:921144ad-6895-7fe3-dc50-db793482d0cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jan 7, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: ALLY INVEST ADVISORS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 19, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S66|S65
First exam: Sep 19, 2003
First registration: Jan 7, 2011
Dual registered: yes, broker-dealer
Other names: Joshua Allen Smail
IAPD individual key: 4656606

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
ALLY INVEST ADVISORS	Independent wealth	Oct 7, 2021	n/a	yes	CHARLOTTE, NC\|Macomb, MI	Current employment
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Mar 15, 2019	Jul 15, 2021	no	CLAWSON, MI\|Dayton, OH\|BROOKLYN, OH	Previous registration
Spc	Bd affiliated wealth	Jun 9, 2017	Jan 24, 2019	no	ANN ARBOR, MI	Previous registration
USA FINANCIAL SECURITIES LLC	Independent wealth	Jun 29, 2016	Nov 21, 2016	no	ADA, MI	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 8, 2014	Oct 17, 2014	no	ROCHESTER, MI	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Oct 18, 2011	Apr 7, 2014	no	TROY, MI\|STERLING HEIGHTS, MI\|SHELBY TOWNSHIP, MI\|ROCHESTER HILLS, MI\|STERLING HEIGHTS, MI\|WARREN, MI	Previous registration
HUNTINGTON FINANCIAL ADVISORS	Bd affiliated wealth	Jan 7, 2011	Oct 5, 2011	no	STERLING HEIGHTS, MI\|WARREN, MI\|STERLING HEIGHTS, MI	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
KEY INVESTMENT SERVICES LLC	ALLY INVEST ADVISORS	Jul 15, 2021	Oct 7, 2021	84	Firm change	Ibd to RIA
Spc	KEY INVESTMENT SERVICES LLC	Jan 24, 2019	Mar 15, 2019	50	Firm change	Ibd to ibd
USA FINANCIAL SECURITIES LLC	Spc	Nov 21, 2016	Jun 9, 2017	200	Firm change	Other
LPL FINANCIAL LLC	USA FINANCIAL SECURITIES LLC	Oct 17, 2014	Jun 29, 2016	621	Firm change after gap	Other
CITIZENS SECURITIES, INC.	LPL FINANCIAL LLC	Apr 7, 2014	Apr 8, 2014	1	Firm change	Other
HUNTINGTON FINANCIAL ADVISORS	CITIZENS SECURITIES, INC.	Oct 5, 2011	Oct 18, 2011	13	Firm change	Other

Relationships

Registered with (7)

→ ALLY INVEST ADVISORSRegistered adviserregistration: current employment
Oct 7, 2021 to presentfactForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Mar 15, 2019 to Jul 15, 2021factForm ADV
→ SPCRegistered adviserregistration: previous registration
Jun 9, 2017 to Jan 24, 2019factForm ADV
→ USA FINANCIAL SECURITIES LLCRegistered adviserregistration: previous registration
Jun 29, 2016 to Nov 21, 2016factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 8, 2014 to Oct 17, 2014factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Oct 18, 2011 to Apr 7, 2014factForm ADV
→ HUNTINGTON FINANCIAL ADVISORSRegistered adviserregistration: previous registration
Jan 7, 2011 to Oct 5, 2011factForm ADV

Dated events

No dated event names this entity yet.