Brian P. Smith

CORNERSTONE WEALTH ADVISORS

Oceanside, CA

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CRD#: 2662335

Professional summary

Brian Patrick Smith, who also goes by Brian P Smith, is a registered financial advisor currently at CORNERSTONE WEALTH ADVISORS, INC. located in Oceanside, California.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Brian has worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brian P 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.

1.Brian P. Smith College Advisory Services Consulting; Investment Related: No; 301 Shadow Tree Dr., Onceanside, CA 92058; ;Primary Advisory Server and Consultant; 06/2013; 60 hours a month; 0 hours during securities trading hours; Assisting individuals by directing them to financial AID for college funding 2. Brian Smith Sole Proprietor; Investment Related: Yes;301 Shadow Tree Dr., Onceanside, CA 92058; Insurance Sales, Insurance Agent; 04/2008; 80 hours a month during securities trading; Life Insurance Sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Patrick 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

July 8, 2020 - Present

CORNERSTONE WEALTH ADVISORS, INC.

RIA

CRD#: 309544

Oceanside, CA

Past

May 8, 2018 - October 2, 2020

CORNERSTONE WEALTH ADVISORS, INC.

RIA

CRD#: 157771

Oceanside, CA

Past

October 20, 2011 - June 3, 2013

TITAN SECURITIES

RIA

CRD#: 131392

OCEANSIDE, CA

Past

October 20, 2011 - June 3, 2013

TITAN SECURITIES

CRD#: 131392

PLANO, TX

Past

January 26, 2010 - October 26, 2011

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

NEWPORT BEACH, CA

Past

June 19, 2009 - December 31, 2009

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

CARLSBAD, CA

Past

January 4, 2008 - December 31, 2008

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

CARLSBAD, CA

Past

March 26, 2007 - October 20, 2011

CAPITAL GROWTH RESOURCES

CRD#: 7779

CARLSBAD, CA

Past

April 5, 2006 - December 31, 2007

NEWPORT WEALTH ADVISORS, INC.

RIA

CRD#: 137159

CARLSBAD, CA

Past

October 9, 2003 - June 30, 2005

SUNSET FINANCIAL SERVICES, INC.

RIA

CRD#: 3538

CARLSBAD, CA

Past

November 12, 2002 - June 30, 2005

SUNSET FINANCIAL SERVICES, INC.

CRD#: 3538

KANSAS CITY, MO

Past

April 23, 2001 - November 6, 2002

MAIN STREET SECURITIES, LLC

CRD#: 47127

HAYS, KS

Past

February 23, 2001 - April 23, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 7, 1995 - February 15, 2001

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CORNERSTONE WEALTH ADVISORS, INC.

CRD#: 309544 / SEC#: 801-132490

RIA

Registered Investment Advisory firm - (4/21/2025 Approved)

California

Registered Investment Advisory firm - (5/28/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

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).

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

California
(7/8/2020)

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: 12/4/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/17/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/1/1996

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/6/1995

General Securities Representative Examination

Current Firm

CORNERSTONE WEALTH ADVISORS, INC.

CRD#: 309544 / SEC#: 801-132490

RIA

Registered Investment Advisory firm - (4/21/2025 Approved)

California

Registered Investment Advisory firm - (5/28/2025 Terminated)

Texas

Registered Investment Advisory firm - (4/28/2025 Terminated)

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Contact information

Main Address

1808 Aston Avenue Suite 150, Carlsbad, CA 92008

Mailing Address

Phone number

(760) 476-1376

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A & 2B SEC (11/4/2025)

Regulatory assets under management

Total Number of Accounts	153
AUM (Assets Under Management)	$ 143,450,000

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.

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Firm Stability Insights

Brian P. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

CORNERSTONE WEALTH ADVISORS, INC.

TITAN SECURITIES

TITAN SECURITIES

NEWPORT WEALTH ADVISORS, INC.

NEWPORT WEALTH ADVISORS, INC.

NEWPORT WEALTH ADVISORS, INC.

CAPITAL GROWTH RESOURCES

NEWPORT WEALTH ADVISORS, INC.

SUNSET FINANCIAL SERVICES, INC.

SUNSET FINANCIAL SERVICES, INC.

MAIN STREET SECURITIES, LLC

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

CORNERSTONE WEALTH ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1995

Series 63

Date: 11/17/1995

Series 31

Date: 5/1/1996

Series 7

Date: 11/6/1995

Current Firm

CORNERSTONE WEALTH ADVISORS, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CORNERSTONE WEALTH ADVISORS, INC.

TRUST BUT VERIFY

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