Brian S. 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 Stanley Smith was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1997. Brian had worked at 4 firms and has passed the Series 63, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2003 - April 4, 2014
ACCESS FINANCIAL GROUP, INC.
January 14, 2002 - January 10, 2003
ROUND HILL SECURITIES, INC.
January 2, 2000 - December 31, 2000
FIFTH THIRD/MAXUS SECURITIES INC
July 28, 1997 - September 3, 1997
AMERIPRISE ADVISOR SERVICES, INC.
Primary Firm SEC Registration
ACCESS FINANCIAL GROUP, INC.
CRD#: 33065 / SEC#: 801-48092, 8-46065
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
ACCESS FINANCIAL GROUP, INC.
CRD#: 33065 / SEC#: 801-48092, 8-46065
Contact information
SEC notice filing (19 States and Territories)
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VICTOR C CHIGAS GRANTOR TRUST FBO VICTOR J CHIGAS | OWNER | |
| RICHARD KONST TRUST | OWNER | |
| VICTOR C CHIGAS GRANTOR TRUST FBO CHRISTOPHER CHIGAS | OWNER | |
| CHIGAS, CHRISTOPHER ROBERT | PRESIDENT, CHIEF COMPLIANCE OFFICER | 1832392 |
| CHIGAS, VICTOR JOHN JR | DIRECTOR, CEO, SR. OPTIONS PRINCIPAL | 1666547 |
| GORCHOFF, NANCY JO | DIRECTOR, C.O.O, C.F.O. | 1236418 |
| KONST, RICHARD IRL | DIRECTOR, VICE CHAIRMAN | 273746 |
Regulatory assets under management
| Total Number of Accounts | 288 |
| AUM (Assets Under Management) | $ 272,305,506 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/13/2024 | ||
| 08/23/2023 | ||
| 10/24/2022 |
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.
