Gregory W. Smith

KEYSTONE FINANCIAL GROUP

Louisville, KY 40207

Some features on this profile are disabled

CRD#: 1302617

Professional summary

Gregory Warren Smith, CFP® is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.

Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Gregory has worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.

At a Glance

Min. Asset: $50K–$100K

Services Offered

Estate Planning

Insurance Planning

Investment Planning

Business Succession Planning

Divorce Planning

Tax Planning

Comprehensive Financial Planning

Employee and Employer Plan Benefits

Retirement Planning

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Warren Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

February 1, 2024 - Present

KEYSTONE FINANCIAL GROUP, LLC

Office #1: 6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207

RIA

CRD#: 170201

Louisville, KY

Current

October 1, 2010 - Present

LPL FINANCIAL LLC

Office #1: 6013 Brownsboro Park Blvd Suite A, Louisville, KY 40207-1293

RIA

CRD#: 6413

LOUISVILLE, KY

Past

April 18, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

October 1, 2010 - May 2, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

LOUISVILLE, KY

Past

January 29, 2009 - June 18, 2009

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

LOUISVILLE, KY

Past

January 26, 2009 - June 18, 2009

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

LOUISVILLE, KY

Past

March 27, 2006 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

RIA

CRD#: 33856

LOUISVILLE, KY

Past

March 24, 2006 - December 31, 2008

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

LOUISVILLE, KY

Past

February 15, 2006 - March 25, 2006

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

LOUISVILLE, KY

Past

July 21, 2005 - March 25, 2006

FIFTH THIRD SECURITIES, INC.

CRD#: 628

LOUISVILLE, KY

Past

May 12, 1986 - December 31, 2005

BROOKSTONE SECURITIES, INC.

CRD#: 13366

LAKELAND, FL

Past

February 5, 1985 - April 22, 1986

BREWER SMITH SECURITIES CO.

CRD#: 15532

Past

September 25, 1984 - February 11, 1985

SAINT ANTHONY SECURITIES, INC.

CRD#: 3476

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/20/2022)

Florida
(1/3/2017)

Indiana
(10/1/2010)

Kentucky
(10/1/2010)

IAR

Kentucky
(2/1/2024)

Ohio
(3/24/2021)

Pennsylvania
(3/17/2022)

Texas
(3/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/15/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 3/29/1990

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 11/3/1988

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/1/1985

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

CRD#: 170201 / SEC#: 801-79274

RIA

Registered Investment Advisory firm - (2/26/2014 Approved)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

527 Wellington Way, Ste 225, Lexington, KY 40503

Mailing Address

Phone number

(859) 317-8316

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A (12/4/2025)

KEYSTONE FINANCIAL GROUP, LLC ADV PART 2A APPENDIX 1 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	6,153
AUM (Assets Under Management)	$ 1,858,938,537

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Trystan Downey

CERITY PARTNERS LLC

IAR

LOUISVILLE, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gregory W. Smith

Professional summary

At a Glance

Services Offered

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory Warren Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

BB&T INVESTMENT SERVICES, INC.

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

BROOKSTONE SECURITIES, INC.

BREWER SMITH SECURITIES CO.

SAINT ANTHONY SECURITIES, INC.

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/15/1984

Series 52TO

Date: 9/25/2025

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 53

Date: 3/29/1990

Series 27

Date: 11/3/1988

Series 24

Date: 3/1/1985

FINRA

Current Firm

KEYSTONE FINANCIAL GROUP, LLC

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KEYSTONE FINANCIAL GROUP, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors