BS
Brendan T. Smith
EXENCIAL WEALTH ADVISORS
Guilford, CT 06437
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CRD#: 2861871
BS
Professional summary
Brendan Thomas Smith, CFP® is a registered financial advisor currently at EXENCIAL WEALTH ADVISORS located in Guilford, Connecticut.
Brendan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Brendan has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
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.
Exencial Wealth Advisors, LLC: Equity Partner / Owner, 2023 to Present Mr. Smith is an Equity Partner of less than 5% of Exencial Wealth Advisors. Mr. Smith spends 100% of his work week performing services for the firm. Mr. Smith is not engaged in any investment-related business outside of his employment at Exencial. NON-INVESTMENT RELATED. TAX PREPARATION/GROUP LIFE AND HEALTH INSURANCE, PRINCIPAL, AFFILIATED GROUP, 07/96 TO PRESENT, 10 HRS/MTH, 2 HOURS DURING TRADING HOURS, MANAGEMENT OF OPERATION
CRS (Client Relationship Summary) - RIA
Click below to view Brendan Thomas 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®
Start date: 2014
Experience
Current
January 18, 2023 - Present
EXENCIAL WEALTH ADVISORS
Office #1: 246 Goose Lane, Suite 201, Guilford, CT 06437RIA
CRD#: 130475
Guilford, CT
Past
July 15, 2008 - March 16, 2023
SHORELINE FINANCIAL ADVISORS, LLC
RIA
CRD#: 146040
GUILFORD, CT
Past
June 16, 2008 - September 20, 2019
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
GUILFORD, CT
Past
January 3, 2000 - June 17, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
GUILFORD, CT
Past
May 6, 1999 - June 17, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
GUILFORD, CT
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".
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EXENCIAL WEALTH ADVISORS
BURNS ADVISORY GROUP | EXENCIAL WEALTH ADVISORS, LLC | EXENCIAL WEALTH ADVISORS | BURNS WEALTH MANAGEMENT, INC. | BURNS WEALTH MANAGEMENT INC. | BURNS ADVISORY GROUP/EXECUTIVE FINANCIAL GROUP
CRD#: 130475 / SEC#: 801-62789
RIA
Registered Investment Advisory firm - (2/9/2004 Approved)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(2/13/2024)
IAR
Connecticut(2/2/2023)
IAR
Florida(3/22/2023)
IAR
Massachusetts(11/7/2023)
IAR
North Carolina(2/13/2024)
IAR
Oklahoma(1/18/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
EW
EXENCIAL WEALTH ADVISORS
BURNS ADVISORY GROUP | EXENCIAL WEALTH ADVISORS, LLC | EXENCIAL WEALTH ADVISORS | BURNS WEALTH MANAGEMENT, INC. | BURNS WEALTH MANAGEMENT INC. | BURNS ADVISORY GROUP/EXECUTIVE FINANCIAL GROUP
CRD#: 130475 / SEC#: 801-62789
RIA
Registered Investment Advisory firm - (2/9/2004 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
9108 N. Kelley Avenue, Oklahoma City, OK 73131
Mailing Address
Phone number
(405) 478-1971
Established
Firm type
Fiscal year end
# of Employees
117
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 9,357 |
| AUM (Assets Under Management) | $ 5,301,377,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 | ||
| 08/27/2024 | ||
| 11/20/2023 |
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.
Company Information
EXENCIAL WEALTH ADVISORS
CRD#: 130475Guilford, CT 06437TRUST BUT VERIFY
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