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For Advisors
BS

Bruce B. Smith

CAROFIN
Brevard, NC 28712
Some features on this profile are disabled
CRD#: 2332178
BS

Professional summary

Bruce Buckley Smith, who also goes by Bruce B Smith, is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bruce B 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Bruce Buckley Smith's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 30, 2019 - Present

CAROFIN, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712
BD
CRD#: 298717
Brevard, NC
Current

August 8, 2024 - Present

CAROLINA FINANCIAL SECURITIES, LLC

Office #1: 100 Elks Club Rd., Brevard, NC 28712
BD
CRD#: 41970
Brevard, NC
Past

January 11, 2012 - December 31, 2019

CAROLINA FINANCIAL SECURITIES, LLC

BD
CRD#: 41970
DARIEN, CT
Past

January 31, 2011 - December 5, 2011

MORGAN STANLEY

RIA
CRD#: 149777
WESTPORT, CT
Past

August 4, 2010 - December 5, 2011

MORGAN STANLEY

BD
CRD#: 149777
WESTPORT, CT
Past

December 21, 2005 - November 13, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

April 1, 1993 - November 13, 2007

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

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

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
California
(2/5/2020)
RR
Colorado
(10/27/2021)
RR
Connecticut
(9/4/2019)
RR
Florida
(8/8/2024)
RR
Georgia
(2/18/2020)
RR
Illinois
(2/2/2022)
RR
Maryland
(8/16/2024)
RR
New Jersey
(2/4/2022)
RR
New York
(12/7/2023)
RR
North Carolina
(1/21/2020)
RR
Ohio
(4/27/2020)
RR
Oregon
(5/8/2020)
RR
Pennsylvania
(2/2/2022)
RR
South Carolina
(5/24/2023)
RR
Texas
(11/1/2022)
RR
Washington
(3/22/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 8/19/2010
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 12/20/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/3/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CAROLINA FINANCIAL SECURITIES, LLC
CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970 / SEC#: , 8-49653

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

Main Address
100 Elks Club Rd., Brevard, NC 28712
Mailing Address
Po Box 1076, Brevard, NC 28712
Phone number
(828) 393-0088
Established
North Carolina since 08/09/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (20 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#
CAROLINA FINANCIAL GROUP, LLCOWNER
MILHAUPT, PETER STUARTOWNER728310
BROYHILL INVESTMENTS, INC.OWNER
LYNCH, WILLIAM ALVINOWNER5853429
GILMORE, NICHOLAS CRAIGCOO-CFO AND FINOP5181593
ROBERTS, BRUCE VICTORPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER1489110

Disclosures

Regulatory Event5

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

CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970Brevard, NC 28712

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