Brian Smith is a registered investment advisor, based in Charlotte, NC, with 17 years of industry experience.
Location
1030 Admiral Nelson Ct, Charlotte, NC, 28262
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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.
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Brian is an employee of The Vanguard Group, Inc. He also owns rental properties in Blacksburg, VA, dedicating minimal time to these activities.
Employment History
Current Registrations
Vanguard Marketing Corporation
July 2022 - Present · 3 yrs 10 mos
Vanguard Advisers, INC.
July 2022 - Present · 3 yrs 10 mos
Vanguard Marketing CorporationBroker
July 2022 - Present · 3 yrs 10 mos
Previous Registrations
Ameriprise Financial Services, LLC.
October 2006 - September 2020 · 13 yrs 11 mos
Ameriprise Financial Services, LLCBroker
September 2006 - September 2020 · 14 yrs
State Registrations3 states
AZNCTX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.