Joseph Lawrence has been Vice President & Managing Director of Aria Wealth Management since April 2019, is a control person of the firm and directly owns under 5% of it.
Aria Wealth Management, Inc. is a Saratoga, CA firm with $130M under management, 249 clients and 6 advisers across 5 offices, as of its April 2026 filing.
Joseph Lawrence is Director of Corporate Services of ARIA Wealth Management, based in Huntsville, AL. Lawrence leads ARIA's Corporate Retirement Services program, partnering with plan sponsors to design and manage retirement plans. His work covers plan design and administrative plan services.
Joseph Lawrence’s longest registration is the current one, 9 years at Aria Wealth Management since 2017. Before joining Aria Wealth Management in 2017, Joseph Lawrence was registered through Concert Wealth Management and G.L. Smith & Associates.
- Aria Wealth ManagementCurrent– present · 9 yearsHuntsville, AL · Adviser representative · Firm CRD 288450
- Concert Wealth Management– · 5 yearsHuntsville, AL · Adviser representative · Firm CRD 141253
- G.L. Smith & Associates– · 7 yearsHuntsville, AL · Adviser representative · Firm CRD 47502
Professional designations
Listed by Aria Wealth Management
- Accredited Investment Fiduciary® (AIF®)
- Certified Plan Fiduciary Adviser (CPFA)
Investment adviser representative registrations
Joseph Lawrence is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from July 2017; the most recent is Texas, in November 2019.
- AlabamaSince 27 July 2017
- TexasResidentSince 22 November 2019
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 7 | General Securities Representative Examination | 10 January 2005 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 March 1994 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 March 1994 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joseph Scott Lawrence
- CRD
- 2457893
- Firm
- Aria Wealth Management · CRD 288450
- Role
- Vice President & Managing Director
- Office
- 100 Church Street SW, Suite 125, Huntsville, AL 35801
- Registration
- Investment adviser registration
- In the industry since
- January 2005
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- ariawm.com
Where does Joseph Lawrence work?
Joseph Lawrence has been Vice President & Managing Director of Aria Wealth Management, Inc. since April 2019, and is a control person of the firm.
Is Joseph Lawrence a financial advisor?
Yes. Joseph Lawrence has a current investment-adviser registration in Alabama and Texas, through Aria Wealth Management since July 2017.
How many years of experience does Joseph Lawrence have?
Joseph Lawrence has 21 years in the financial industry, since January 2005, across 3 adviser firms.
What exams has Joseph Lawrence passed?
Joseph Lawrence has passed 3 licensing exams: the Series 6, Series 63 and Series 7. The earliest, the Series 6, was passed in March 1994. FINRA credited Joseph Lawrence with the SIE, which began in October 2018.
Where did Joseph Lawrence work before Aria Wealth Management?
Before Aria Wealth Management, Joseph Lawrence was registered through G.L. Smith & Associates, January 2005 to December 2012.
Where is Joseph Lawrence based?
Joseph Lawrence’s registered office is in Huntsville, AL.
Is Joseph Lawrence registered with FINRA?
No. Joseph Lawrence has no current broker registration.
How can I verify Joseph Lawrence’s record?
Search CRD 2457893 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Lawrence’s full registration record.