Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Smith is a financial professional with over 15 years of experience in the securities industry. Brian is a Series 7, 9, 10, 24, 27, 63 and 65 licensed professional. Brian is currently registered with GT Securities, Inc. Prior to joining GT Securities, Inc. Brian was associated with a number of other firms including PURSHE KAPLAN STERLING INVESTMENTS, WEILD & CO., LPL FINANCIAL LLC, AMERICA'S CHOICE EQUITIES LLC, AMERICAN SECURITIES GROUP, INC., SYNERGY INVESTMENT GROUP, LLC, TRIUNE CAPITAL ADVISORS LLC and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
CA
08/15/2024 - Present
GT Securities, Inc. (LOS ANGELES CA)
NC
08/24/2021 - 07/08/2022
PURSHE KAPLAN STERLING INVESTMENTS (MOORESVILLE NC)
CO
07/24/2018 - 09/16/2019
WEILD & CO. (BOULDER CO)
SC
08/14/2015 - 10/11/2017
LPL FINANCIAL LLC (FORT MILL SC)
CA
02/24/2015 - 06/09/2015
GT SECURITIES, INC. (LOS ANGELES CA)
FL
08/15/2011 - 02/11/2013
AMERICA'S CHOICE EQUITIES LLC (PALM BEACH GARDENS FL)
NC
10/27/2008 - 09/18/2009
AMERICAN SECURITIES GROUP, INC. (CHARLOTTE NC)
NC
08/12/2008 - 09/24/2008
SYNERGY INVESTMENT GROUP, LLC (MOORESVILLE NC)
NC
04/12/2005 - 12/31/2007
TRIUNE CAPITAL ADVISORS LLC (MOORESVILLE NC)
NA
03/15/1991 - 02/20/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 04/27/2015
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/06/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/2024
Series 24 - General Securities Principal Examination
BC
Issued 08/15/2024
Series 27 - Financial and Operations Principal Examination
BC
Issued 08/15/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/15/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/15/2024
Series 7TO - General Securities Representative Examination
BC
Issued 08/15/2024
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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