JS
Joshua S. Smith
ONEASCENT FINANCIAL SERVICES LLC
Decatur, IN 46733
Some features on this profile are disabled
CRD#: 7460318
JS
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 Albany, New York.
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.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Josh Smith | Joshua S 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.
1) One Ascent Financial Services DBA Flight Financial Advisors. Investment Related. Located at 104 S. Third Street, Decatur, IN 46733. Nature - RIA. Position - Investment Advisor. Start - 10/2022. 160 hours per month, 120 hours during trading hours. duties - developing financial plans, providing financial advice, developing and implementing investment strategies. 2) Fixed Insurance. Investment Related. Located at 104 S. Third Street, Decatur, IN 46733. Nature - Fixed / Traditional Insurance. Position - Agent. Start - 01/2022. 20 hours per month, all during trading hours. Duties - sales of Fixed / Traditional Insurance products. 3) Lifewise Academy; Date started 10/1/2023; non-investment related; volunteer role -- not compensated
CRS (Client Relationship Summary) - RIA
Click below to view Joshua Stuart 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 4, 2022 - Present
ONEASCENT FINANCIAL SERVICES LLC
Office #1: 104 South 3rd Street, Decatur, IN 46733RIA
CRD#: 284549
Decatur, IN
Current
October 3, 2022 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 80 State Street, Albany, NY 12207Office #2: 917 N. Main Street, Bluffton, IN 46714Office #3: 104 S 3rd Street Box 417, Decatur, IN 46733BD
CRD#: 35747
ALBANY, NY
Past
July 15, 2022 - October 21, 2022
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
DECATUR, IN
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".
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | 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 | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 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
Indiana(10/3/2022)
IAR
Indiana(10/4/2022)
RR
Ohio(10/3/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/28/2022
General Securities Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
OF
ONEASCENT FINANCIAL SERVICES LLC
2:24 WEALTH GROUP | ZAHORANSKI WEALTH MANAGEMENT | WEALTH STEWARDS | THE CORNERSTONE FINANCIAL GROUP | TEVEBAUGH & ASSOCIATES | TATE FINANCIAL PARTNERS | STRATEGENCE CAPITAL | STONEBRIDGE WEALTH MANAGEMENT | 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 | ANTHEM ADVISORS | AFFILIATED FINANCIAL PLANNERS | ADVENTURE FINANCIAL
CRD#: 284549 / SEC#: 801-108265
RIA
Registered Investment Advisory firm - (8/24/2016 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
23 Inverness Parkway, Birmingham, AL 35242
Mailing Address
Phone number
(205) 313-9142
Established
Firm type
Fiscal year end
# of Employees
125
SEC notice filing (43 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,150 |
| AUM (Assets Under Management) | $ 2,610,953,335 |
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.
