Brian A. Smith
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 A Smith was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2007. Brian had worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2022 - December 19, 2022
ALIRA HEALTH TRANSACTION SERVICES, LLC
April 2, 2018 - November 26, 2018
JUMPSTART SECURITIES, LLC
December 7, 2016 - September 20, 2017
FAIRPORT CAPITAL, INC.
January 7, 2016 - April 7, 2017
TEMENOS ADVISORY, INC.
February 13, 2014 - January 8, 2016
CHEVIOT VALUE MANAGEMENT, LLC
April 10, 2012 - February 6, 2014
SILVER PINE CAPITAL, LLC
June 1, 2009 - June 18, 2010
MORGAN STANLEY
October 24, 2008 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
June 6, 2007 - October 28, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - October 28, 2008
MORGAN STANLEY & CO. LLC
March 16, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALIRA HEALTH TRANSACTION SERVICES, LLC
CRD#: 140203 / SEC#: , 8-67294
Contact information
FINRA licenses (53 States and Territories)
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.
