Brian Smith has been President /Chief Compliance Officer of Smith, Brian David since November 1998, is a control person of the firm and directly owns 75% or more of it.
Smith, Brian David is a Greenville, SC firm with $133M under management, 304 clients and 2 advisers in one office, as of its June 2026 filing.
Brian D. Smith is Owner and Financial Advisor of Southeast Financial Advisors. He has worked in the investment management and financial industry for over 30 years and founded the firm in 1998 in Greenville, South Carolina.
- Southeast Financial AdvisorsCurrent– present · 27 yearsGreenville, SC · Adviser representative · Firm CRD 121757
Investment adviser representative registrations
Brian Smith is registered as an investment adviser representative in 3 states. The first approvals date from January 1999; the most recent are Louisiana and North Carolina, in May 2015.
- LouisianaSince 28 May 2015
- North CarolinaSince 28 May 2015
- South CarolinaSince 19 January 1999
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 26 | Investment Company Products/Variable Contracts Principal Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 1 March 2010 |
| Series 24 | General Securities Principal Examination | 4 August 2008 |
| Series 7 | General Securities Representative Examination | 21 September 2005 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 October 1998 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 August 1993 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 31 August 1993 |
- Name
- Investment Company Products/Variable Contracts Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Brian David Smith
- CRD
- 2394812
- Firm
- Smith, Brian David · CRD 121757
- Role
- President /Chief Compliance Officer
- Office
- C/O 107 MANLY STREET, Greenville, SC 29601
- Registration
- Investment adviser registration
- In the industry since
- October 1993
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- southeastfinancialadvisors.com
Where does Brian Smith work?
Brian Smith has been President /Chief Compliance Officer of Smith, Brian David since November 1998, and is a control person of the firm.
Is Brian Smith a financial advisor?
Yes. Brian Smith has a current investment-adviser registration in Louisiana, North Carolina and South Carolina, through Smith, Brian David since January 1999.
How many years of experience does Brian Smith have?
Brian Smith has 32 years in the financial industry, since October 1993, across 1 adviser firm.
What exams has Brian Smith passed?
Brian Smith has passed 8 licensing exams: the Series 63, Series 6, Series 65, Series 7, Series 24, Series 27, Series 26 and Series 99TO. The earliest, the Series 63, was passed in August 1993. FINRA credited Brian Smith with the SIE, which began in October 2018.
Where is Brian Smith based?
Brian Smith’s registered office is in Greenville, SC.
Is Brian Smith registered with FINRA?
No. Brian Smith has no current broker registration.
How can I verify Brian Smith’s record?
Search CRD 2394812 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Brian Smith’s full registration record.