Brian Christopher Smith
Professional Summary
Brian Christopher Smith is a registered financial advisor currently at OLD MISSION CAPITAL, LLC located in Chicago, Illinois. Brian is registered as a RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 8 firms and has passed the SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
OLD MISSION CAPITAL, LLC
Contact Information
Main Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602Mailing Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602Phone Number
(312) 235-5371Established
Illinois since 03/19/2008Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jan 2013SRO Registrations
SRO Registrations
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SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brian Christopher Smith's CRS (Customer Relationship Summary).
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