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BS

Brandon J. Smith

WALLACE HART CAPITAL MANAGEMENT
Lexington, KY 40509
Some features on this profile are disabled
CRD#: 7972265
BS

Professional summary

Brandon Jay Smith, who also goes by Brandon Smith, is a registered financial advisor currently at WALLACE HART CAPITAL MANAGEMENT located in Lexington, Kentucky.

Brandon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Brandon has worked at 1 firm and has passed the Series 65 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Brandon 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) - RIA

Click below to view Brandon Jay 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

September 19, 2024 - Present

WALLACE HART CAPITAL MANAGEMENT

Office #1: 1792 Alysheba Way Suite 390, Lexington, KY 40509
RIA
CRD#: 285981
Lexington, KY

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".
WH
WALLACE HART CAPITAL MANAGEMENT
NATHAN ANDREW LLC | WALLACE HART LLC | WALLACE HART CAPITAL MANAGEMENT

CRD#: 285981 / SEC#: 801-108930

RIA
Registered Investment Advisory firm - (1/13/2017 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
Kentucky
(9/19/2024)
IAR
Texas
(9/19/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/15/2023
Uniform Investment Adviser Law Examination

Current Firm

WH
WALLACE HART CAPITAL MANAGEMENT
NATHAN ANDREW LLC | WALLACE HART LLC | WALLACE HART CAPITAL MANAGEMENT

CRD#: 285981 / SEC#: 801-108930

RIA
Registered Investment Advisory firm - (1/13/2017 Approved)
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Contact information

Main Address
1792 Alysheba Way Suite 390, Lexington, KY 40509
Mailing Address
Phone number
(859) 300-3030
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (9 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

WALLACE HART CAPITAL MANAGEMENT - PART 2A BROCHURE (9/24/2025)

Regulatory assets under management

Total Number of Accounts763
AUM (Assets Under Management)$ 255,607,816

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

WALLACE HART CAPITAL MANAGEMENT

CRD#: 285981Lexington, KY 40509

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