Brett R. Smith
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.
Brett Ray Smith was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1998. Brett had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2015 - March 29, 2016
KARSTEN ADVISORS
March 2, 2001 - April 10, 2015
BRETT R. SMITH CPA WEALTH MANAGEMENT, LLC
November 30, 1998 - September 30, 1999
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
KARSTEN ADVISORS
CRD#: 158571 / SEC#: 801-72936
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
