Brian Paul Smith

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2013 → 11/2019
  Fidelity Brokerage Services Llc
  Sarasota, FL
• 07/2018 → 11/2019
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 11/2019 → 03/2020
  Unemployed
  Bradenton, FL
• 03/2020 → Present
  Hancock Whitney Bank
  Bradenton, FL
• 03/2020 → 08/2022
  Hancock Whitney Investment Services, Inc.
  Bradenton, FL
• 08/2022 → Present
  Cetera Investment Services Llc
  Saint Cloud, MN
• 08/2022 → Present
  Cetera Investment Advisers Llc
  Bradenton, FL

Previous Registrations

• 2020-03-20 → 2022-08-10
  Hancock Whitney Investment Services Inc.
  Bradenton, FL
  New Orleans, LA
  Bradenton, FL
• 2018-07-13 → 2019-11-29
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2013-03-21 → 2018-07-13
  Strategic Advisers Llc
  Sarasota, FL
  Sarasota, FL
• 2006-06-12 → 2013-01-10
  Truist Investment Services, Inc.
  Sarasota, FL
  Sarasota, FL
  Sarasota, FL
  Sarasota, FL
  Sarasota, FL
  Sarasota, FL
  Sarasota, FL
• 2000-10-01 → 2006-05-30
  Wells Fargo Clearing Services, Llc
  Sarasota, FL
  Venice, FL

Other Businesses

1. WEALTH ADVISOR AT HANCOCK WHITNEY; PROVIDE FINANCIAL PLANNING AND WILL THEN REFER TO THE APPROPRIATE SPECIALISTS

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-08-14
• S63 Uniform Securities Agent State Law Examination
  1994-06-23