Brian David Smith
CFP®Professional Summary
Brian David Smith, CFP® is a registered financial advisor currently at SOUTHEAST FINANCIAL ADVISORS located in Greenville, South Carolina. Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Brian has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 26, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Investment Planning
- Tax Planning
- Estate Planning
- Comprehensive Financial Planning
- Business Succession Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
xxxxx@xxxx.xxx
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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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Credentials
Years of Experience
33 years in the financial services industry
Current & Past Employments
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Current Firm
HARRISON FINANCIAL, LLC | SOUTHEAST FINANCIAL ADVISORS, LLC | SOUTHEAST FINANCIAL ADVISORS | SMITH, BRIAN DAVID | SFA FINANCIAL, LLC
Contact Information
Main Address
C/o 107 Manly Street, Greenville, SC 29601Mailing Address
1708 Augusta St Suite C #9, Greenville, SC 29605Phone Number
(864) 284-6511# of Employees
2SEC notice filing (5 States and Territories)
Registered to provide investment advisory services in 5 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
656AUM (Assets Under Management)
$132,964,803Similar Advisors
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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.
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Primary Firm SEC Registration
HARRISON FINANCIAL, LLC | SOUTHEAST FINANCIAL ADVISORS, LLC | SOUTHEAST FINANCIAL ADVISORS | SMITH, BRIAN DAVID | SFA FINANCIAL, LLC
State Registrations and Notice Filings
(5/28/2015)
(5/28/2015)
(1/19/1999)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Aug 1993About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSimilar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view Brian David Smith's CRS (Customer Relationship Summary).
Services Offered by Brian
- Retirement Planning
- Employee and Employer Plan Benefits
- Insurance Planning
- Investment Planning
- Tax Planning
- Estate Planning
- Comprehensive Financial Planning
- Business Succession Planning
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