Joseph G. Smith

KEYSTONE FINANCIAL GROUP

Louisville, KY 40207

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CRD#: 3025608

Professional summary

Joseph Gary Smith, CFP®, who also goes by Gary Smith, is a registered financial advisor currently at KEYSTONE FINANCIAL GROUP, LLC located in Louisville, Kentucky and LPL FINANCIAL LLC located in Louisville, Kentucky.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Joseph has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Gary Smith

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 Joseph Gary 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: 2003

Experience

Current

March 3, 2026 - Present

KEYSTONE FINANCIAL GROUP, LLC

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

RIA

CRD#: 170201

Louisville, KY

Current

February 10, 2012 - Present

LPL FINANCIAL LLC

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

RIA

CRD#: 6413

LOUISVILLE, KY

Past

June 26, 2025 - July 13, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

June 23, 2025 - March 31, 2026

STRATOS WEALTH PARTNERS, LTD

RIA

CRD#: 153184

Louisville, KY

Past

March 24, 2016 - March 13, 2026

HORIZON WEALTH MANAGEMENT, LLC

RIA

CRD#: 118731

Louisville, KY

Past

February 10, 2012 - June 23, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

LEXINGTON, KY

Past

December 17, 2009 - February 17, 2012

FIFTH THIRD SECURITIES, INC.

RIA

CRD#: 628

LOUISVILLE, KY

Past

December 17, 2009 - February 17, 2012

FIFTH THIRD SECURITIES, INC.

CRD#: 628

LOUISVILLE, KY

Past

November 13, 2009 - December 17, 2009

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

LOUISVILLE, KY

Past

November 13, 2009 - December 17, 2009

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

LOUISVILLE, KY

Past

December 6, 2004 - November 13, 2009

NATCITY INVESTMENTS, INC.

RIA

CRD#: 17490

LOUISVILLE, KY

Past

December 6, 2004 - November 13, 2009

NATCITY INVESTMENTS, INC.

CRD#: 17490

LOUISVILLE, KY

Past

August 12, 2002 - December 8, 2004

STATE FARM VP MANAGEMENT CORP.

CRD#: 43036

BLOOMINGTON, IL

Past

October 25, 2001 - July 16, 2002

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

May 20, 1999 - November 6, 2001

NATCITY INSURANCE SERVICES, INC.

CRD#: 16989

CLEVELAND, OH

Past

June 8, 1998 - November 6, 2001

NATCITY INVESTMENTS, INC.

CRD#: 17490

CLEVELAND, OH

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
(1/23/2024)

Arizona
(5/20/2015)

Arkansas
(9/10/2020)

Colorado
(5/2/2016)

Connecticut
(1/10/2026)

Florida
(4/24/2012)

Georgia
(3/22/2012)

Illinois
(3/25/2014)

Indiana
(3/22/2012)

Kansas
(9/10/2020)

Kentucky
(2/10/2012)

IAR

Kentucky
(3/3/2026)

Michigan
(9/17/2015)

Missouri
(9/17/2015)

New Jersey
(7/3/2019)

North Carolina
(9/17/2015)

North Dakota
(2/6/2020)

Ohio
(9/17/2015)

Oregon
(9/18/2018)

Pennsylvania
(9/17/2015)

Rhode Island
(1/30/2021)

South Carolina
(9/17/2015)

Tennessee
(2/10/2012)

Texas
(9/17/2015)

Utah
(3/6/2020)

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

IAR

Series 65

Date: 7/27/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/22/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/3/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2005

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

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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.

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Advisor Monitoring

Firm Stability Insights

Joseph G. Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Gary Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

STRATOS WEALTH PARTNERS, LTD

HORIZON WEALTH MANAGEMENT, LLC

LPL FINANCIAL LLC

FIFTH THIRD SECURITIES, INC.

FIFTH THIRD SECURITIES, INC.

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

NATCITY INVESTMENTS, INC.

NATCITY INVESTMENTS, INC.

STATE FARM VP MANAGEMENT CORP.

J.J.B. HILLIARD, W.L. LYONS, LLC

NATCITY INSURANCE SERVICES, INC.

NATCITY INVESTMENTS, INC.

Primary Firm SEC Registration

KEYSTONE FINANCIAL GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/27/2001

Series 63

Date: 6/22/1998

SIE

Date: 10/1/2018

Series 7

Date: 6/3/1998

Series 24

Date: 10/25/2005

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

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