BS
Bradley R. Smith
WESTMINSTER FINANCIAL ADVISORY CORP
Franklin, TN 37067
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CRD#: 4420750
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Professional summary
Bradley Ray Smith, who also goes by Brad Smith, Bradley Smith, is a registered financial advisor currently at WESTMINSTER FINANCIAL ADVISORY CORP located in Franklin, Tennessee and SMITH WYND CAPITAL LLC located in Franklin, Tennessee.
Bradley is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Bradley has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brad Smith | Bradley Smith
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.
(1) Smith Wynd CPA Brad Smith is a partner Not an investment related business. Brad provides a variety of tax compliance, planning, and consulting services to individuals and businesses. Firm began 11/1/2014. Approximate hours per month - 125 (2) Smith Wynd & Co LLC dba "SWCO" Brad is an owner. Not an investment related business. Established 10/04/2020 Brad is engaged as a transaction advisor regarding the sale of privately held business interests (valuation and tax structure). Approximate hours per month - 10 (3) Brad Smith CPA LLC Brad Smith is an owner. Not an investment related business. Management entity that is compensated by Smith Wynd CPA, Smith Wynd Capital, and SWCO for management services related to both. Entity was established 10/16/2000. Approximate hours per month - 20
CRS (Client Relationship Summary) - RIA
Click below to view Bradley Ray 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®
NoneExperience
Current
September 19, 2016 - Present
WESTMINSTER FINANCIAL ADVISORY CORP
Office #1: 9000 Carothers Pkwy, Suite 100, Franklin, TN 37067RIA
CRD#: 110283
Franklin, TN
Current
December 9, 2024 - Present
SMITH WYND CAPITAL LLC
Office #1: 9000 Carothers Pkwy, Suite 100, Franklin, TN 37067RIA
CRD#: 333042
FRANKLIN, TN
Past
February 18, 2014 - September 22, 2016
HORTER INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 119880
FRANKLIN, TN
Past
June 20, 2011 - September 30, 2014
PIEDMONT INVESTMENT ADVISORS, LLC
RIA
CRD#: 125465
FRANKLIN, TN
Past
August 3, 2006 - June 26, 2009
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
BONITA SPRINGS, FL
Past
August 15, 2001 - June 26, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
BONITA SPRINGS, FL
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".
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
Registered Investment Advisory firm - (6/15/1987 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
Alabama(6/7/2019)
IAR
California(6/1/2018)
IAR
Florida(10/7/2016)
IAR
Georgia(9/14/2018)
IAR
Illinois(10/2/2024)
IAR
Indiana(4/18/2024)
IAR
Kansas(1/11/2023)
IAR
Kentucky(6/6/2018)
IAR
Louisiana(6/4/2018)
IAR
New Jersey(11/15/2023)
IAR
New York(4/19/2024)
IAR
Ohio(9/7/2017)
IAR
Oregon(6/18/2019)
IAR
Tennessee(9/19/2016)
IAR
Texas(6/2/2018)
IAR
Texas(12/9/2024)
IAR
Vermont(6/5/2020)
IAR
Virginia(4/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
WF
WESTMINSTER FINANCIAL ADVISORY CORP
ADVANCED FINANCIAL ADVISORS LLC | WESTMINSTER FINANCIAL ADVISORY CORP | TUDOR FINANCIAL | THE FINANCIAL SHERPA | SMITH WYND CAPITAL | SHOOP WEALTH MANAGEMENT | SBC INVESTMENT SERVICES | INVESTMENT SERVICES OF HARTFORD | INNOVATIVE INVESTMENTS | GOLDBERG LARKIN | AMERICAN NETWORK
CRD#: 110283 / SEC#: 801-29690
RIA
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Contact information
Main Address
50 Chestnut Street Suite A-400, Beavercreek, OH 45440
Mailing Address
Phone number
(937) 898-5010
Established
Firm type
Fiscal year end
# of Employees
46
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,255 |
| AUM (Assets Under Management) | $ 1,224,901,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/14/2024 | ||
| 02/26/2024 | ||
| 12/09/2022 |
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.
