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Brian David Smith

Southeast Financial Advisors

Greenville, SC

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Current Employers
Southeast Financial Advisors

C/O 107 Manly Street, Greenville, SC 29601 • United States

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2015-05-28
NC RA APPROVED 2015-05-28
SC RA APPROVED 1999-01-19
  • LA RA
    APPROVED
    Since 2015-05-28
  • NC RA
    APPROVED
    Since 2015-05-28
  • SC RA
    APPROVED
    Since 1999-01-19

Branch Locations

C/O 107 Manly Street, Greenville, SC 29601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Southeast Financial Advisors Greenville SC 11/1998 Present
Sfa Financial, Llc Greenville SC 01/2009 12/2023
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-26
S63 Uniform Securities Agent State Law Examination 1993-08-31
  • S65 Uniform Investment Adviser Law Examination
    1998-10-26
  • S63 Uniform Securities Agent State Law Examination
    1993-08-31

View on SEC IAPD

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Other Investors

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TIMOTHY SHALER SMITH
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KENNETH E HICKS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · GREENVILLE, SC
FORTIS CAPITAL ADVISORS, LLC · Greenville, SC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · GREENVILLE, SC
THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
THE HUNTINGTON INVESTMENT COMPANY · Greenville, SC
AMERIPRISE FINANCIAL SERVICES, LLC · Greenville, SC
GOEPPER BURKHARDT LLC · GREENVILLE, SC
DBA BIG MONEY RETIREMENT AND BIG RETIREMENT · GREENVILLE, SC

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