Bruce Buckley Smith
Professional Summary
Bruce Buckley Smith, who also goes by Bruce B Smith, is a registered financial advisor currently at CAROFIN, LLC located in Brevard, North Carolina and CAROLINA FINANCIAL SECURITIES, LLC located in Brevard, North Carolina. Bruce is registered as a RR (Registered Representative) and started their career in finance in 1993. Bruce has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Bruce B Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
CAROLINA FINANCIAL SECURITIES, LLC
Contact Information
Main Address
100 Elks Club Rd., Brevard, NC 28712Mailing Address
Po Box 1076, Brevard, NC 28712Phone Number
(828) 393-0088Established
North Carolina since 08/09/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (19 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
(2/5/2020)
(10/27/2021)
(9/4/2019)
(8/8/2024)
(2/18/2020)
(2/2/2022)
(8/16/2024)
(2/4/2022)
(12/7/2023)
(1/21/2020)
(4/27/2020)
(5/8/2020)
(2/2/2022)
(5/24/2023)
(11/1/2022)
(3/22/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Bruce Buckley Smith's CRS (Customer Relationship Summary).
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