Brian C. Smalley

TRITON WEALTH MANAGEMENT, PLLC

Sun City, AZ 85351

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CRD#: 5575649

Professional summary

Brian Charles Smalley, who also goes by Brian Smalley, is a registered financial advisor currently at TRITON WEALTH MANAGEMENT, PLLC located in Sun City, Arizona and UNIVERSAL WEALTH MANAGEMENT LLC located in Surprise, Arizona.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Brian has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1) Triton Wealth Management. Investment Related. 13211 North 103rd Avenue, Suite 4, Sun City, AZ 85351. RIA. Financial Advisor. 10/2016. 120 Hrs/Mo; All During Trading Hours. Financial Advisor. 2) 2019- Fixed Insurance. Non Investment Related. No ownership. 0-5 hrs/month during trading hours. 3) BCS Financial PLC. 100% owner. pass through for Triton Wealth Management. 0 hrs/month spent using this name on financial related business. all DBA done as Triton Wealth. 4) BC Enterprises LLC: Finish Carpentry; 100% owner, non investment related, 60+ hours/month, 0 during market hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Charles Smalley's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 17, 2019 - Present

TRITON WEALTH MANAGEMENT, PLLC

Office #1: 13211 N 103rd Ave Ste. 4, Sun City, AZ 85351

RIA

CRD#: 291070

Sun City, AZ

Current

November 26, 2024 - Present

UNIVERSAL WEALTH MANAGEMENT LLC

Office #1: 15331 W Bell Road Ste 318, Surprise, AZ 85374

RIA

CRD#: 333585

SURPRISE, AZ

Past

September 24, 2019 - December 31, 2024

LEIGH BALDWIN & CO., LLC

CRD#: 38751

Sun City, AZ

Past

October 18, 2016 - January 31, 2019

KINGSVIEW WEALTH MANAGEMENT, LLC

RIA

CRD#: 148107

Sun City, AZ

Past

October 14, 2016 - September 5, 2019

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Sun City, AZ

Past

February 5, 2013 - October 10, 2016

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

SUN CITY, AZ

Past

January 11, 2013 - October 10, 2016

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

SUN CITY, AZ

Past

October 28, 2008 - February 8, 2012

EDWARD JONES

RIA

CRD#: 250

SURPRISE, AZ

Past

September 17, 2008 - February 8, 2012

EDWARD JONES

CRD#: 250

SURPRISE, AZ

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".

TRITON WEALTH MANAGEMENT, PLLC

ROXBURY ADVISORS LLC | TRITON WEALTH MANAGEMENT, PLLC

CRD#: 291070 / SEC#: 801-114305

RIA

Registered Investment Advisory firm - (11/16/2018 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

Arizona
(1/17/2019)

IAR

California
(4/30/2025)

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 66

Date: 10/2/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/16/2008

General Securities Representative Examination

Current Firm

TRITON WEALTH MANAGEMENT, PLLC

ROXBURY ADVISORS LLC | TRITON WEALTH MANAGEMENT, PLLC

CRD#: 291070 / SEC#: 801-114305

RIA

Registered Investment Advisory firm - (11/16/2018 Approved)

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Contact information

Main Address

13211 N 103rd Ave Suite 4, Sun City, AZ 85351

Mailing Address

Phone number

(623) 209-0850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	1,373
AUM (Assets Under Management)	$ 379,504,905

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) - RIA

Click below to view Brian Charles Smalley's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNIVERSAL WEALTH MANAGEMENT LLC

LEIGH BALDWIN & CO., LLC

KINGSVIEW WEALTH MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

TRITON WEALTH MANAGEMENT, PLLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/2/2008

SIE

Date: 10/1/2018

Series 7

Date: 9/16/2008

Current Firm

TRITON WEALTH MANAGEMENT, PLLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRITON WEALTH MANAGEMENT, PLLC

TRUST BUT VERIFY

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