Smith A. Brownlie
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Smith Asher Brownlie III, who also goes by Smith Asher III Brownlie, was a registered financial professional .
Smith is a previously registered financial professional and started their career in finance in 1987. Smith had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2017 - November 12, 2024
BROWNLIE & BRADEN ADVISORS, LLC
January 2, 2004 - March 27, 2019
HANOVER HILLCREST HOLDINGS, LLC
February 27, 2001 - January 6, 2004
CBIZ FINANCIAL SOLUTIONS, INC.
August 12, 1998 - March 23, 2004
BBGPR, LLC
June 1, 1998 - March 8, 1999
OSAIC FA, INC.
December 8, 1987 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BROWNLIE & BRADEN ADVISORS, LLC
CRD#: 288879 / SEC#: 801-110796
Contact information
Regulatory assets under management
| Total Number of Accounts | 28 |
| AUM (Assets Under Management) | $ 329,198,635 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2023 |
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.
