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BS

Brady A. Smith

MIT ASSOCIATES
Tiburon, CA
Some features on this profile are disabled
CRD#: 7448936
BS

Professional summary

Brady Allen Smith, who also goes by Brady Allen Smith, is a registered financial professional currently at MIT ASSOCIATES, LLC located in Tiburon, California.

Brady is registered as a RR (Registered Representative) and started their career in finance in 2022. Brady has worked at 4 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brady Allen Smith

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) - BD

Click below to view Brady Allen Smith'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

April 9, 2025 - Present

MIT ASSOCIATES, LLC

BD
CRD#: 121171
Tiburon, CA
Past

June 4, 2023 - December 12, 2023

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

September 30, 2022 - January 30, 2023

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

January 7, 2022 - September 7, 2022

FRANKLIN DISTRIBUTORS, LLC

BD
CRD#: 109064
St. Petersburg, FL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(5/6/2025)
RR
New York
(5/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/4/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/7/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/29/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MIT ASSOCIATES, LLC
LIABILITY SOLUTIONS | MIT ASSOCIATES, LLC

CRD#: 121171 / SEC#: , 8-65386

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
85 Eastview Avenue, Tiburon, CA 94920
Mailing Address
Po Box 774, Tiburon, CA 94920
Phone number
(415) 860-3673
Established
California since 04/17/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIT HOLDINGS, LLCOWNER OF MIT ASSOCIATES, LLC
FORD, DAVID WRENNCEO, CCO, MANAGING PARTNER1188531
HARLINE, LISA DESAIMANAGING PARTNER6565161
STEWART, SCOTT ALEXANDERFINOP6977422
THORNTON, STEVEN LEEPRINCIPAL4496384

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.

Company Information

MIT ASSOCIATES, LLC

CRD#: 121171Tiburon, CA

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