Barrick A. Smart

SMART INVESTMENTS ADVISORY

REDLANDS, CA 92373

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CRD#: 829239

Professional summary

Barrick Allyn Smart is a registered financial advisor currently at SMART INVESTMENTS ADVISORY INCORPORATED located in Redlands, California and LPL FINANCIAL LLC located in Redlands, California.

Barrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1976. Barrick has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 9, Series 10, Series 4, Series 30, Series 53, Series 27, Series 24 and Series 12 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Barrick Allyn Smart's 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

December 8, 2006 - Present

SMART INVESTMENTS ADVISORY INCORPORATED

Office #1: 205 E. State Street, Redlands, CA 92373

RIA

CRD#: 107778

REDLANDS, CA

Current

June 5, 2025 - Present

LPL FINANCIAL LLC

Office #1: 1849 W. Redlands Blvd. Ste. 104, Redlands, CA 92373

RIA

CRD#: 6413

REDLANDS, CA

Past

November 17, 2025 - January 22, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

June 4, 2020 - June 5, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

Redlands, CA

Past

December 5, 2006 - August 12, 2008

WBB SECURITIES, LLC

RIA

CRD#: 118440

REDLANDS, CA

Past

December 5, 2006 - June 3, 2020

WBB SECURITIES, LLC

CRD#: 118440

REDLANDS, CA

Past

April 30, 2001 - December 7, 2006

SMART INVESTMENTS ADVISORY INCORPORATED

RIA

CRD#: 107778

REDLANDS, CA

Past

February 12, 2001 - December 10, 2003

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

December 14, 2000 - December 6, 2006

THE SEIDLER COMPANIES INCORPORATED

CRD#: 3911

REDLANDS, CA

Past

October 18, 1994 - January 2, 2001

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

SAN DIEGO, CA

Past

August 17, 1982 - October 17, 1994

GREAT AMERICAN SECURITIES INC.

CRD#: 7504

Past

November 1, 1976 - July 29, 1982

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

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.

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

Arizona
(6/5/2025)

IAR

California
(12/8/2006)

California
(6/5/2025)

Colorado
(6/5/2025)

Florida
(6/6/2025)

Georgia
(6/5/2025)

Idaho
(6/5/2025)

Indiana
(6/5/2025)

Louisiana
(7/14/2025)

Maryland
(1/15/2026)

Michigan
(6/5/2025)

Missouri
(6/5/2025)

Nevada
(6/5/2025)

New Mexico
(7/14/2025)

North Carolina
(6/5/2025)

Ohio
(1/9/2026)

Oregon
(6/5/2025)

Pennsylvania
(8/13/2025)

South Carolina
(6/30/2025)

South Dakota
(7/14/2025)

Tennessee
(6/5/2025)

Texas
(6/5/2025)

Utah
(7/14/2025)

Washington
(6/5/2025)

Wisconsin
(7/28/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/15/1992

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 10/12/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 10/16/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/19/2001

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 4/17/1997

Registered Options Principal Examination

Principal/Supervisory Exam

Series 30

Date: 5/16/1995

NFA Branch Manager Examination

Principal/Supervisory Exam

Series 53

Date: 6/7/1994

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/27/1993

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1991

General Securities Principal Examination

Principal/Supervisory Exam

Series 12

Date: 11/15/1980

NYSE Branch Manager Examination

SRO Registrations

FINRA

Current Firm

SMART INVESTMENTS ADVISORY INCORPORATED

CONSTELLATION ADVISORS | SMART INVESTMENTS ADVISORY INCORPORATED | SMART INVESTMENTS | SEIDLER INVESTMENT ADVISORS INCORPORATED | CONSTELLATION ADVISROS

CRD#: 107778 / SEC#: 801-63265

RIA

Registered Investment Advisory firm - (12/12/2007 Terminated)

California

Registered Investment Advisory firm - (12/4/2007 Approved)

Oregon

Registered Investment Advisory firm - (8/24/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

1849 W. Redlands Blvd. Suite 104, Redlands, CA 92373-3127

Mailing Address

Phone number

(909) 335-8565

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	210
AUM (Assets Under Management)	$ 82,000,000

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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Barrick A. Smart

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Barrick Allyn Smart's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WESTERN INTERNATIONAL SECURITIES, INC.

WBB SECURITIES, LLC

WBB SECURITIES, LLC

SMART INVESTMENTS ADVISORY INCORPORATED

INDEPENDENT FINANCIAL GROUP, LLC

THE SEIDLER COMPANIES INCORPORATED

INDEPENDENT FINANCIAL GROUP, LLC

GREAT AMERICAN SECURITIES INC.

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 2/8/1990

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 10/15/1992

Series 5

Date: 10/12/1981

Series 7

Date: 10/16/1976

Series 9

Date: 1/2/2023

Series 10

Date: 1/19/2001

Series 4

Date: 4/17/1997

Series 30

Date: 5/16/1995

Series 53

Date: 6/7/1994

Series 27

Date: 9/27/1993

Series 24

Date: 4/24/1991

Series 12

Date: 11/15/1980

FINRA

Current Firm

SMART INVESTMENTS ADVISORY INCORPORATED

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SMART INVESTMENTS ADVISORY INCORPORATED

TRUST BUT VERIFY

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