Brian D. Smith

SOUTHEAST FINANCIAL ADVISORS

Greenville, SC 29601

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CRD#: 2394812

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.

Question & Answer

What are your service offerings?

Retirement Planning

Employee and Employer Plan Ben...

Insurance Planning

Investment Planning

Tax Planning

Estate Planning

Comprehensive Financial Planni...

Business Succession 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.

SOUTHEAST FINANCIAL ADVISERS - SINCE 1999 107 Manly Street Greenville SC 29601- PRESIDENT/OWNER - RIA INSURANCE BSN - SEC. RELATED - APPROX 120 - 180 HRS P/M & APPROX 95% OF TIME DEVOTED DURING MKT HRS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David 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: 2013

Experience

Current

January 19, 1999 - Present

SOUTHEAST FINANCIAL ADVISORS

Office #1: C/o 107 Manly Street, Greenville, SC 29601

RIA

CRD#: 121757

Greenville, SC

Past

November 6, 2009 - February 1, 2024

SFA FINANCIAL, LLC

CRD#: 149647

Greenville, SC

Past

January 3, 2008 - October 27, 2009

COLONY PARK FINANCIAL SERVICES LLC.

CRD#: 41534

GREENVILLE, SC

Past

July 16, 1996 - January 2, 2008

THE LEADERS GROUP, INC.

CRD#: 37157

SUMMIT, NJ

Past

March 30, 1994 - July 16, 1996

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

HOUSTON, TX

Past

September 3, 1993 - February 4, 1994

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

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

Georgia
(1/25/2018)

IAR

Louisiana
(5/28/2015)

IAR

North Carolina
(5/28/2015)

IAR

South Carolina
(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

State Security Law Exam

IAR

Series 65

Date: 10/26/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/21/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/31/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/2/2023

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 27

Date: 3/1/2010

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 8/4/2008

General Securities Principal Examination

Current Firm

SOUTHEAST FINANCIAL ADVISORS

HARRISON FINANCIAL, LLC | SOUTHEAST FINANCIAL ADVISORS, LLC | SOUTHEAST FINANCIAL ADVISORS | SFA FINANCIAL, LLC

CRD#: 121757 / SEC#: 801-69899

RIA

Registered Investment Advisory firm - (6/21/2012 Terminated)

Georgia

Registered Investment Advisory firm - (1/25/2018 Approved)

Indiana

Registered Investment Advisory firm - (2/20/2009 Terminated)

Louisiana

Registered Investment Advisory firm - (5/28/2015 Approved)

North Carolina

Registered Investment Advisory firm - (5/22/2012 Approved)

South Carolina

Registered Investment Advisory firm - (6/21/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

C/o 107 Manly Street, Greenville, SC 29601

Mailing Address

1708 Augusta St Suite C #9, Greenville, SC 29605

Phone number

(864) 284-6511

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	721
AUM (Assets Under Management)	$ 113,575,078

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.

Contact information

xxxxx@xxxx.xxx

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FIDUCIARY ORGANIZATION, LLC

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Advisor Monitoring

Firm Stability Insights

Brian D. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian David Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

SFA FINANCIAL, LLC

COLONY PARK FINANCIAL SERVICES LLC.

THE LEADERS GROUP, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CETERA WEALTH SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/26/1998

Series 63

Date: 8/31/1993

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 9/21/2005

Series 6

Date: 8/31/1993

Series 26

Date: 1/2/2023

Series 27

Date: 3/1/2010

Series 24

Date: 8/4/2008

Current Firm

SOUTHEAST FINANCIAL ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SOUTHEAST FINANCIAL ADVISORS

TRUST BUT VERIFY

Contact information

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