Unclaimed Profile

Brian Edward Smith

CARY STREET PARTNERS INVESTMENT ADVISORY LLC·RICHMOND, Virginia

SIE, Series 4, Series 7, Series 24, Series 31, Series 63, Series 6520 years registeredCARY STREET PARTNERS INVESTMENT ADVISORY LLC

1210 E. CARY STREET, RICHMOND, VA 23219CRD# 2287309Firm CRD# 128545

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Brian Edward Smith · RICHMOND, VA

Registration

CRD #2287309 · CARY STREET PARTNERS INVESTMENT ADVISORY LLC · 20 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CARY STREET PARTNERS

Nov 2013 – Apr 2019

AUSTIN, TX

RIVERSTONE WEALTH MANAGEMENT

May 2006 – Dec 2013

AUSTIN, TX

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 31

Series 63

Series 65

Registration record

First registered · May 18, 2006

Years registered · 20

Disclosure History

2009Customer Dispute·Settled

2008Customer Dispute·Withdrawn

2005Regulatory·Final

2001Customer Dispute·Dismissed

2001Customer Dispute·Settled

1997Customer Dispute·Award / Judgment

6 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

CARY STREET PARTNERS INVESTMENT ADVISORY LLC

CRD 128545 · SEC 801-64239

AUM

$7.0B

Regulatory assets under management

Employees

144

12,547 client accounts

Services offered by CARY STREET PARTNERS INVESTMENT ADVISORY LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CARY STREET PARTNERS INVESTMENT ADVISORY LLC →

Introduction

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Frequently Asked Questions

What services does Brian Edward Smith offer?

Brian Edward Smith specializes in Financial Planning, Investment Management, Wealth Management.

What are Brian Edward Smith's credentials?

Brian Edward Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Brian Edward Smith located?

Brian Edward Smith is based in RICHMOND, Virginia, last registered with CARY STREET PARTNERS INVESTMENT ADVISORY LLC.

How does Brian Edward Smith charge for services?

Brian Edward Smith's firm is compensated through percentage of aum, hourly charges, subscription fees, other: revenue sharing with certain third parties. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CARY STREET PARTNERS INVESTMENT ADVISORY LLC?

CARY STREET PARTNERS INVESTMENT ADVISORY LLC has approximately 144 employees and manages $7.0B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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