Brian S. Smith

ASSET ALLOCATION STRATEGIES

ALTAMONTE SPRINGS, FL

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CRD#: 2869800

Professional summary

Brian Scott Smith is a registered financial advisor currently at ASSET ALLOCATION STRATEGIES, LLC located in Altamonte Springs, Florida.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 10 and Series 9 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Scott 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 18, 2025 - Present

ASSET ALLOCATION STRATEGIES, LLC

RIA

CRD#: 152339

ALTAMONTE SPRINGS, FL

Past

October 6, 2023 - July 10, 2025

GRADIENT ADVISORS, LLC

RIA

CRD#: 152665

Altamonte Springs, FL

Past

February 4, 2008 - March 15, 2012

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, FL

Past

February 2, 2004 - November 12, 2004

SIGMA FINANCIAL CORPORATION

CRD#: 14303

ANN ARBOR, MI

Past

January 7, 2003 - February 28, 2003

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 12, 1998 - July 6, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 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

Florida
(7/23/2025)

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: 8/7/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/2/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 4/24/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 4/21/2008

General Securities Sales Supervisor - Options Module Examination

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

CRD#: 152339 / SEC#: 801-106707

RIA

Registered Investment Advisory firm - (9/28/2015 Approved)

Massachusetts

Registered Investment Advisory firm - (3/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (3/30/2021 Terminated)

Vermont

Registered Investment Advisory firm - (6/14/2018 Terminated)

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Contact information

Main Address

33335 Grand River, Farmington, MI 48336

Mailing Address

Phone number

(248) 489-0101

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (22 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ASSET ALLOCATION STRATEGIES, LLC FORM 2A 2025 (3/20/2025)

Regulatory assets under management

Total Number of Accounts	3,883
AUM (Assets Under Management)	$ 767,431,598

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 S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

GRADIENT ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

SIGMA FINANCIAL CORPORATION

NEW ENGLAND SECURITIES

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

ASSET ALLOCATION STRATEGIES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/7/2023

Series 63

Date: 2/8/2008

Series 7

Date: 2/2/2008

Series 10

Date: 4/24/2008

Series 9

Date: 4/21/2008

Current Firm

ASSET ALLOCATION STRATEGIES, LLC

Contact information

SEC notice filing (22 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ASSET ALLOCATION STRATEGIES, LLC

TRUST BUT VERIFY

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