Brian A. Smith

BELLINGHAM CAPITAL

Bellingham, WA 98226

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CRD#: 3149295

Professional summary

Brian Alastair Smith is a registered financial advisor currently at BELLINGHAM CAPITAL located in Bellingham, Washington.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 2 firms and has passed the Series 66, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Alastair 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

November 9, 2009 - Present

BELLINGHAM CAPITAL

Office #1: 316 E Mcleod Rd Suite 105, Bellingham, WA 98226

RIA

CRD#: 151684

Bellingham, WA

Past

January 29, 2007 - November 11, 2009

EDWARD JONES

RIA

CRD#: 250

CRESCENT CITY, CA

Past

December 10, 1998 - November 11, 2009

EDWARD JONES

CRD#: 250

CRESCENT CITY, CA

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".

BELLINGHAM CAPITAL

BELLINGHAM CAPITAL | BELLINGHAM CAPITAL MANAGEMENT, INC. | BELLINGHAM CAPITAL MANAGEMENT

CRD#: 151684 / SEC#: 801-123303

RIA

Registered Investment Advisory firm - (2/24/2022 Approved)

California

Registered Investment Advisory firm - (4/8/2022 Terminated)

Oregon

Registered Investment Advisory firm - (3/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2022 Terminated)

Washington

Registered Investment Advisory firm - (4/11/2022 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

Washington
(11/9/2009)

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 66

Date: 1/18/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/3/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/30/1998

General Securities Representative Examination

Current Firm

BELLINGHAM CAPITAL

BELLINGHAM CAPITAL | BELLINGHAM CAPITAL MANAGEMENT, INC. | BELLINGHAM CAPITAL MANAGEMENT

CRD#: 151684 / SEC#: 801-123303

RIA

Registered Investment Advisory firm - (2/24/2022 Approved)

California

Registered Investment Advisory firm - (4/8/2022 Terminated)

Oregon

Registered Investment Advisory firm - (3/11/2022 Terminated)

Texas

Registered Investment Advisory firm - (3/9/2022 Terminated)

Washington

Registered Investment Advisory firm - (4/11/2022 Terminated)

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Contact information

Main Address

316 E Mcleod Rd Suite 105, Bellingham, WA 98226

Mailing Address

Phone number

(360) 685-4240

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A BROCHURE (3/24/2025)

Regulatory assets under management

Total Number of Accounts	596
AUM (Assets Under Management)	$ 141,958,116

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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Brian A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BELLINGHAM CAPITAL

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

BELLINGHAM CAPITAL

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2007

Series 63

Date: 12/3/1998

Series 7

Date: 11/30/1998

Current Firm

BELLINGHAM CAPITAL

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

BELLINGHAM CAPITAL

TRUST BUT VERIFY

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