Brian J. Smith
Professional summary
Brian James Smith, who also goes by Brian Smith, is a registered financial advisor currently at AXIS POINT CAPITAL located in Newport Beach, California.
Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Brian has worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian James Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2020 - Present
AXIS POINT CAPITAL
September 22, 2008 - August 1, 2011
BARCLAYS CAPITAL INC.
August 22, 2006 - September 22, 2008
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(11/19/2020)
Exams
Current Firm
AXIS POINT CAPITAL
CRD#: 311159 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 12,000,000 |
Red Flags
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