Brian C. Smalley

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CRD#: 4743291

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 Charles Smalley, who also goes by Brian Smalley, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 2004. Brian had worked at 4 firms and has passed the Series 65, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian Smalley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 29, 2015 - December 31, 2017

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

PITTSBURGH, PA

Past

April 30, 2012 - December 5, 2014

MERUS CAPITAL PARTNERS, LLC

CRD#: 158884

NEW YORK, NY

Past

November 24, 2008 - May 1, 2012

G-2 TRADING,LLC

CRD#: 44018

NEW YORK, NY

Past

April 23, 2004 - November 17, 2008

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

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".

FEDERATED INVESTMENT COUNSELING

FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 6/29/2015

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 12/5/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 7/28/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/21/2004

General Securities Representative Examination

Current Firm

FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

Phone number

(412) 288-1900

Established

Firm type

Fiscal year end

# of Employees

213

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIC SUMMARY OF CHANGES (3/14/2025)

2025 FIC FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	8,579
AUM (Assets Under Management)	$ 199,641,239,415

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/11/2023	Cover Page	Report
07/29/2022	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Brian C. Smalley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERUS CAPITAL PARTNERS, LLC

G-2 TRADING,LLC

FIRST NEW YORK SECURITIES L.L.C.

Primary Firm SEC Registration

FEDERATED INVESTMENT COUNSELING

State Registrations and Notice Filings

Exams

Series 65

Date: 6/29/2015

SIE

Date: 12/5/2014

Series 55

Date: 7/28/2004

Series 7

Date: 4/21/2004

Current Firm

FEDERATED INVESTMENT COUNSELING

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FEDERATED INVESTMENT COUNSELING

TRUST BUT VERIFY

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