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BS

Brian H. Smith

Some features on this profile are disabled
CRD#: 2123683
BS

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.

Brian Hugh Smith was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1991. Brian had worked at 12 firms and has passed the Series 63, Series 65, Series 7TO, Series 82TO, SIE, Series 7, Series 24, Series 27, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 15, 2024 - December 11, 2025

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

August 24, 2021 - July 8, 2022

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
MOORESVILLE, NC
Past

November 23, 2020 - August 2, 2022

GREERWALKER WEALTH LLC

RIA
CRD#: 118154
CHARLOTTE, NC
Past

November 20, 2019 - December 31, 2020

TRAVERSE WEALTH

RIA
CRD#: 138003
MOORESVILLE, NC
Past

July 24, 2018 - September 16, 2019

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

August 14, 2015 - October 11, 2017

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT MILL, SC
Past

August 14, 2015 - October 11, 2017

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT MILL, SC
Past

February 24, 2015 - June 9, 2015

GT SECURITIES, INC.

BD
CRD#: 116012
LOS ANGELES, CA
Past

August 29, 2011 - December 31, 2014

TRAVERSE WEALTH

RIA
CRD#: 138003
MOORESVILLE, NC
Past

August 15, 2011 - February 11, 2013

AMERICA'S CHOICE EQUITIES LLC

BD
CRD#: 135272
PALM BEACH GARDENS, FL
Past

November 17, 2008 - September 18, 2009

AMERICAN SECURITIES GROUP, INC.

RIA
CRD#: 43730
CHARLOTTE, NC
Past

October 27, 2008 - September 18, 2009

AMERICAN SECURITIES GROUP, INC.

BD
CRD#: 43730
CHARLOTTE, NC
Past

August 12, 2008 - September 24, 2008

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
MOORESVILLE, NC
Past

October 11, 2007 - October 10, 2008

TRAVERSE WEALTH

RIA
CRD#: 138003
MOORESVILLE, NC
Past

April 12, 2005 - December 31, 2007

TCA FINANCIAL GROUP, LLC

BD
CRD#: 131275
MOORESVILLE, NC
Past

April 1, 2005 - October 11, 2007

TCA FINANCIAL GROUP, LLC

RIA
CRD#: 131275
MOORESVILLE, NC
Past

January 7, 2005 - June 21, 2005

BUCKHORN CAPITAL MANAGEMENT LLC

RIA
CRD#: 108457
CHARLOTTE, NC
Past

March 15, 1991 - February 20, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/6/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/15/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 82TO
Date: 8/15/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/15/2024
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 8/15/2024
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/15/2024
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/15/2024
General Securities Sales Supervisor - Options Module Examination

Current Firm

GS
GT SECURITIES, INC.
GROWTHINK SECURITIES, INC. | GT SECURITIES, INC. | GROWTHINK, INC.

CRD#: 116012 / SEC#: , 8-53527

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
12130 Millennium Dr Suite 300, Los Angeles, CA 90094
Mailing Address
12130 Millennium Dr, Los Angeles, CA 90094
Phone number
(310) 846-5004
Established
California since 12/06/2001
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GROWTHINK, INC.PARENT CORPORATION
MUELLER, MICHELLECHIEF COMPLIANCE OFFICER6707697
TURO, JAMES STEVENMANAGING DIRECTOR2083402

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

GT SECURITIES, INC.

CRD#: 116012

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