Joshua Smith

BEACON CAPITAL MANAGEMENT

Dayton, OH 45459

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CRD#: 5193278

Professional summary

Joshua Smith, who also goes by Joshua Douglas Smith, is a registered financial advisor currently at BEACON CAPITAL MANAGEMENT, INC. located in Dayton, Ohio and SAMMONS FINANCIAL NETWORK, LLC located in West Des Moines, Iowa.

Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joshua has worked at 5 firms and has passed the Series 66, Series 6TO, SIE, Series 7 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joshua Douglas 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.

EMPLOYED AS AN OFFICER IN THE IOWA AIR NATIONAL GUARD IN DES MOINES, IA. POSITION IS DIRECTOR OF COMPLAINTS RESOLUTION OFFICER. SPEND ONE WEEKEND ON THIS CAREER ON SATURDAY AND SUNDAY ROUGHLY 20 HOURS/MONTH. THERE ARE TIMES REP MAY SPEND AN ADDITIONAL 80 HOURS DURING THE WEEKS OF THE YEAR. THIS IS A MILITARY POSITION AND IS NOT INVESTMENT RELATED.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joshua 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®

None

Experience

Current

February 3, 2022 - Present

BEACON CAPITAL MANAGEMENT, INC.

Office #1: 7777 Washington Village Drive Suite 280, Dayton, OH 45459

RIA

CRD#: 120641

Dayton, OH

Current

February 29, 2012 - Present

SAMMONS FINANCIAL NETWORK, LLC

Office #1: 8300 Mills Civic Parkway, West Des Moines, IA 50266

CRD#: 158538

West Des Moines, IA

Past

September 23, 2013 - November 3, 2021

SPC

RIA

CRD#: 110692

WEST DES MOINES, IA

Past

April 2, 2008 - November 1, 2011

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

March 26, 2008 - November 1, 2011

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DES MOINES, IA

Past

September 18, 2006 - February 6, 2008

FIRST TRUST PORTFOLIOS L.P.

CRD#: 28519

LISLE, IL

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".

BEACON CAPITAL MANAGEMENT, INC.

BEACON CAPITAL MANAGEMENT, INC. | ZERO COMMISSION PORTFOLIOS

CRD#: 120641 / SEC#: 801-61249

RIA

Registered Investment Advisory firm - (6/13/2002 Approved)

Florida

Registered Investment Advisory firm - (6/6/2002 Cancelled)

Indiana

Registered Investment Advisory firm - (2/25/2003 Terminated)

New York

Registered Investment Advisory firm - (1/14/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2001 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Iowa
(2/29/2012)

IAR

Iowa
(2/3/2022)

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 66

Date: 10/17/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/2/2012

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

BEACON CAPITAL MANAGEMENT, INC.

BEACON CAPITAL MANAGEMENT, INC. | ZERO COMMISSION PORTFOLIOS

CRD#: 120641 / SEC#: 801-61249

RIA

Registered Investment Advisory firm - (6/13/2002 Approved)

Florida

Registered Investment Advisory firm - (6/6/2002 Cancelled)

Indiana

Registered Investment Advisory firm - (2/25/2003 Terminated)

New York

Registered Investment Advisory firm - (1/14/2003 Terminated)

Ohio

Registered Investment Advisory firm - (1/1/2001 Terminated)

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Contact information

Main Address

7777 Washington Village Drive Suite 280, Dayton, OH 45459

Mailing Address

Phone number

(937) 439-9093

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BEACON CAPITAL - FORM ADV PART 2A (8/30/2025)

BEACON CAPITAL MANAGEMENT WRAP FEE BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	13,893
AUM (Assets Under Management)	$ 4,669,480,758

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

Joshua Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

SAMMONS FINANCIAL NETWORK, LLC

SPC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

FIRST TRUST PORTFOLIOS L.P.

Primary Firm SEC Registration

BEACON CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/17/2006

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2006

Series 26

Date: 3/2/2012

FINRA

Current Firm

BEACON CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BEACON CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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