JS
Joshua B. Smith
KESTRA PRIVATE WEALTH SERVICES
Plano, TX 75024
Some features on this profile are disabled
CRD#: 5151054
JS
Professional summary
Joshua Blake Smith, who also goes by Josh B Smith, Josh Blake Smith, is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Plano, Texas and KESTRA INVESTMENT SERVICES, LLC located in Plano, Texas.
Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Joshua has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh B Smith | Josh Blake 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.
Business Name: SYMPHONY WEALTH GROUP POSITION: Managing Partner NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 10/06/2023 ADDRESS: 5801 Headquarters Dr, Suite 100, Plano TX 75024 DESCRIPTION: Managing client relationships utilizing in-house managed models on platform. Daily managing of clients and financial plans. Business Name: HW ASSETS LLC POSITION: Owner of LLC NATURE: Pass Through LLC for D9 Advisors DBA Symphony Wealth Group INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2023 ADDRESS: 5750 Southwind Ln, Mckinney TX 75070 DESCRIPTION: This is a pass through LLC for Symphony Wealth Group
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Blake Smith's 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®
NoneExperience
Current
October 6, 2023 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 5801 Headquarters Dr. Suite 100, Plano, TX 75024RIA
CRD#: 155193
Plano, TX
Current
October 6, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5801 Headquarters Dr. Suite 100, Plano, TX 75024BD
CRD#: 42046
Plano, TX
Past
September 3, 2020 - November 3, 2023
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
PLANO, TX
Past
September 1, 2020 - November 3, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
PLANO, TX
Past
November 1, 2017 - September 1, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
IRVING, TX
Past
October 21, 2011 - November 3, 2023
UNITED CAPITAL FINANCIAL ADVISORS
RIA
CRD#: 134600
IRVING, TX
Past
October 21, 2011 - November 1, 2017
GIRARD SECURITIES, INC.
BD
CRD#: 18697
IRVING, TX
Past
July 1, 2008 - November 7, 2011
LPL FINANCIAL LLC
RIA
CRD#: 6413
IRVING, TX
Past
May 6, 2008 - November 7, 2011
LPL FINANCIAL LLC
BD
CRD#: 6413
IRVING, TX
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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.RR
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
RR
Alabama(10/6/2023)
RR
Alaska(10/6/2023)
RR
Arizona(10/6/2023)
RR
Arkansas(10/6/2023)
RR
California(10/6/2023)
RR
Colorado(10/6/2023)
RR
Connecticut(10/6/2023)
RR
Delaware(10/6/2023)
RR
District of Columbia(10/6/2023)
RR
Florida(10/6/2023)
RR
Georgia(10/6/2023)
RR
Hawaii(10/6/2023)
RR
Idaho(10/6/2023)
RR
Illinois(10/6/2023)
RR
Indiana(10/6/2023)
RR
Iowa(10/6/2023)
RR
Kansas(10/6/2023)
RR
Kentucky(10/6/2023)
RR
Louisiana(10/6/2023)
RR
Maine(10/6/2023)
RR
Maryland(10/6/2023)
RR
Massachusetts(10/6/2023)
RR
Michigan(10/6/2023)
RR
Minnesota(10/6/2023)
RR
Mississippi(10/6/2023)
RR
Missouri(10/6/2023)
RR
Montana(10/6/2023)
RR
Nebraska(10/6/2023)
RR
Nevada(10/6/2023)
RR
New Hampshire(10/6/2023)
RR
New Jersey(10/6/2023)
RR
New Mexico(10/6/2023)
RR
New York(10/6/2023)
RR
North Carolina(11/6/2023)
RR
North Dakota(10/6/2023)
RR
Ohio(10/6/2023)
RR
Oklahoma(10/6/2023)
RR
Oregon(10/6/2023)
RR
Pennsylvania(10/6/2023)
RR
Puerto Rico(10/6/2023)
RR
Rhode Island(10/6/2023)
RR
South Carolina(10/6/2023)
RR
South Dakota(10/6/2023)
RR
Tennessee(10/6/2023)
RR
Texas(10/6/2023)
IAR
Texas(10/6/2023)
RR
Utah(10/6/2023)
RR
Vermont(10/6/2023)
RR
Virgin Islands(10/6/2023)
RR
Virginia(10/6/2023)
RR
Washington(10/6/2023)
RR
West Virginia(10/6/2023)
RR
Wisconsin(10/6/2023)
RR
Wyoming(10/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
Company Information
KESTRA PRIVATE WEALTH SERVICES, LLC
CRD#: 155193Plano, TX 75024TRUST BUT VERIFY
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