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The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

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Brien Louis Smith

Brien L. Smith

TRADITIONS WEALTH ADVISORS.
College Station, TX 77845-5037
Some features on this profile are disabled
CRD#: 1906664
Brien Louis Smith

Professional summary

Brien Louis Smith, CFP® is a registered financial advisor currently at TRADITIONS WEALTH ADVISORS, LLC. located in College Station, Texas.

Brien is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Brien has worked at 6 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

What are your service offerings?
Comprehensive Financial Planni...
Retirement Planning
Estate Planning
Investment Planning
Insurance Planning
Small Business Planning
Are you a "fiduciary"?
Yes

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brien Louis 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®
CFP®

Certified Financial Planner

Start date: 1994

Experience

Current

January 1, 2008 - Present

TRADITIONS WEALTH ADVISORS, LLC.

Office #1: 2700 Earl Rudder Frwy S. Suite 2600, College Station, TX 77845-5037
RIA
CRD#: 128135
College Station, TX
Past

July 1, 2004 - March 31, 2014

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
COLLEGE STATION, TX
Past

May 25, 2004 - December 31, 2007

TRADITIONS WEALTH ADVISORS, LLC.

RIA
CRD#: 128135
COLLEGE STATION, TX
Past

July 12, 1995 - July 26, 2004

CARTER ADVISORY SERVICES, INC

RIA
CRD#: 116249
COLLEGE STATION, TX
Past

March 1, 1994 - July 8, 2004

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

February 14, 1989 - March 7, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 14, 1989 - March 7, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Highlighted states indicate IAR registrations

IAR
Louisiana
(1/9/2025)
IAR
Texas
(1/1/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 2/22/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 2/11/1989
General Securities Representative Examination

Current Firm

TRADITIONS WEALTH ADVISORS, LLC.
TRADITIONS WEALTH ADVISORS, LLC.
BRIEN L. SMITH, CFP | TRADITIONS WEALTH ADVISORS, LLC. | SPIRIT STEWARDSHIP MINISTRIES | SPIRIT FIDUCIARY PARTNERS | SMITH, BRIEN LOUIS

CRD#: 128135 / SEC#:

Louisiana
Registered Investment Advisory firm - (1/9/2025 Approved)
Texas
Registered Investment Advisory firm - (1/1/2008 Approved)
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Contact information

Main Address
2700 Earl Rudder Frwy S. Suite 2600, College Station, TX 77845-5037
Mailing Address
Phone number
(979) 694-9100
Established
Firm type
Fiscal year end
# of Employees
9

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts323
AUM (Assets Under Management)$ 88,831,993

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

TRADITIONS WEALTH ADVISORS, LLC.

TRADITIONS WEALTH ADVISORS, LLC.

CRD#: 128135College Station, TX 77845-5037

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