Brian P. 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.
Brian Patrick Smith, who also goes by Brian P Smith, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1995. Brian had worked at 9 firms and has passed the Series 65, Series 63, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 8, 2020 - December 31, 2025
CORNERSTONE WEALTH ADVISORS, INC.
May 8, 2018 - October 2, 2020
CORNERSTONE WEALTH ADVISORS, INC.
October 20, 2011 - June 3, 2013
TITAN SECURITIES
October 20, 2011 - June 3, 2013
TITAN SECURITIES
January 26, 2010 - October 26, 2011
NEWPORT WEALTH ADVISORS, INC.
June 19, 2009 - December 31, 2009
NEWPORT WEALTH ADVISORS, INC.
January 4, 2008 - December 31, 2008
NEWPORT WEALTH ADVISORS, INC.
March 26, 2007 - October 20, 2011
CAPITAL GROWTH RESOURCES
April 5, 2006 - December 31, 2007
NEWPORT WEALTH ADVISORS, INC.
October 9, 2003 - June 30, 2005
SUNSET FINANCIAL SERVICES, INC.
November 12, 2002 - June 30, 2005
SUNSET FINANCIAL SERVICES, INC.
April 23, 2001 - November 6, 2002
MAIN STREET SECURITIES, LLC
February 23, 2001 - April 23, 2001
MORGAN STANLEY DW INC.
November 7, 1995 - February 15, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
CORNERSTONE WEALTH ADVISORS, INC.
CRD#: 309544 / SEC#: 801-132490
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CORNERSTONE WEALTH ADVISORS, INC.
CRD#: 309544 / SEC#: 801-132490
Contact information
SEC notice filing (3 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 425 |
| AUM (Assets Under Management) | $ 145,630,000 |
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.
