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Brian Charles Smalley
BRIAN SMALLEY
CRD#: 5575649
IA
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UNIVERSAL WEALTH MANAGEMENT LLCCRD#: 333585 15331 W BELL ROAD
STE 318
SURPRISE, AZ 85374
STE 318
SURPRISE, AZ 85374
0
Disclosures
15
Years of Experience
View By:
State Registrations
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Arizona 1/17/2019
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Registered with this firm since 11/26/2024
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Registered with this firm since 1/17/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/24/2019 - 12/31/2024 | Sun City, AZ | |
B | 10/14/2016 - 09/05/2019 | Sun City, AZ | |
IA | 10/18/2016 - 01/31/2019 | Sun City, AZ | |
IA | 02/05/2013 - 10/10/2016 | SUN CITY, AZ | |
B | 01/11/2013 - 10/10/2016 | SUN CITY, AZ | |
IA | 10/28/2008 - 02/08/2012 | SURPRISE, AZ | |
B | 09/17/2008 - 02/08/2012 | SURPRISE, AZ |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.