Joshua Stuart Smith
Professional Summary
Joshua Stuart Smith, who also goes by Josh Smith, Joshua S Smith, is a registered financial advisor currently at ONEASCENT FINANCIAL SERVICES LLC located in Decatur, Indiana and PURSHE KAPLAN STERLING INVESTMENTS located in Bluffton, Indiana. Joshua is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Joshua has worked at 3 firms and has passed the Series 66, SIE and Series 7TO exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Josh Smith, Joshua S Smith
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Disclosures on record.
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.
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Current Firm
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | STEWARDSHIP ADVISORY GROUP | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ASCENSION WEALTH MANAGEMENT | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
Contact Information
Main Address
100 Grandview Place Suite 200, Birmingham, AL 35243Phone Number
(205) 313-9142# of Employees
161SEC notice filing (43 States and Territories)
Registered to provide investment advisory services in 43 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
16,009AUM (Assets Under Management)
$3,537,993,573Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
Primary Firm SEC Registration
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | STEWARDSHIP ADVISORY GROUP | SOVEREIGN PRIVATE WEALTH | SOVEREIGN FAMILY OFFICE | SOLOMON PRIVATE WEALTH | RIVER OAK FINANCIAL | RESOLUTE CAPITAL GROUP | PWJOHNSON WEALTH MANAGEMENT | PURE CAPITAL SPORTS | PURE CAPITAL ADVISORS | PROVIDENT OAK FINANCIAL | PROVIDENCE FINANCIAL ADVISORS | PEARSON & ASSOCIATES | ONEASCENT FINANCIAL SERVICES LLC | LONE OAK FINANCIAL SERVICES | LIFE&WEALTH ADVISORS | LEGATUM GROUP | JB STARK FINANCIAL LLC | HARDT FINANCIAL GROUP | HAMPTON SQUARE WEALTH MANAGEMENT | FRANKLIN WEALTH MANAGEMENT | FLIGHT FINANCIAL ADVISORS | FINANCIAL STRATEGIES GROUP | ENOUGH WEALTH | ASCENSION WEALTH MANAGEMENT | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
State Registrations and Notice Filings
(10/3/2022)
(10/4/2022)
(10/3/2022)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Stuart Smith's CRS (Customer Relationship Summary).
Similar Advisors
SIMPLICITY WEALTH
UBS FINANCIAL SERVICES INC.
BARNES WEALTH MANAGEMENT GROUP
EDWARD JONES