Brian Smith is a registered investment advisor, based in Quakertown, PA, with 21 years of industry experience.
Location
136 Mill Road, Suite A, Quakertown, PA, 18951
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
B. Riley Wealth ManagementBroker
November 2023 - Present · 2 yrs 5 mos
B. Riley Wealth Advisors, INC.
November 2023 - Present · 2 yrs 5 mos
Previous Registrations
LPL Financial LLCBroker
July 2018 - December 2023 · 5 yrs 5 mos
LPL Financial LLC
July 2018 - December 2023 · 5 yrs 5 mos
Investment Professionals, INC.Broker
December 2012 - August 2018 · 5 yrs 8 mos
Investment Professionals, INC.
December 2012 - August 2018 · 5 yrs 8 mos
LPL Financial LLC
February 2012 - December 2012 · 10 mos
LPL Financial LLCBroker
February 2012 - December 2012 · 10 mos
Signator Investors, INC.
July 2010 - February 2012 · 1 yr 7 mos
Signator Investors, INC.Broker
January 2005 - February 2012 · 7 yrs 1 mo
State Registrations18 states
AZCACODEFLGAMAMDNCNENJNVNYOKPASCTXWA
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.