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Brian Charles Smalley
BRIAN SMALLEY
CRD#: 5575649
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Investment Adviser
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Previous Broker
UNIVERSAL WEALTH MANAGEMENT LLCCRD#: 333585 15331 W BELL ROAD
STE 318
SURPRISE, AZ 85374
Registration History
20082010201220142016201820202022202420262 FIRMS2008 - 2012 (3 years)2 FIRMS2013 - 2016 (3 years)2 FIRMS2016 - 2019 (2 years)IAUNIVERSAL WEALTH MANAGEMENT LLC (CRD# 333585)2024 - Present (<1 year)IATRITON WEALTH MANAGEMENT, PLLC (CRD# 291070)2019 - Present (6 years)BLEIGH BALDWIN & CO., LLC (CRD# 38751)2019 - 2024 (5 years)
License(s)

State Registrations

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Arizona 1/17/2019

Current Registration(s)
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UNIVERSAL WEALTH MANAGEMENT LLC (CRD#:333585)
15331 W BELL ROAD STE 318, SURPRISE, AZ 85374
Registered with this firm since 11/26/2024

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TRITON WEALTH MANAGEMENT, PLLC (CRD#:291070)
13211 N 103RD AVE Suite 4, Sun City, AZ 85351
Registered with this firm since 1/17/2019

Previous Registration(s)
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09/24/2019 - 12/31/2024 LEIGH BALDWIN & CO., LLC (CRD#:38751) Sun City, AZ
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10/14/2016 - 09/05/2019 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Sun City, AZ
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10/18/2016 - 01/31/2019 KINGSVIEW ASSET MANAGEMENT, LLC (CRD#:148107) Sun City, AZ
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02/05/2013 - 10/10/2016 RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018) SUN CITY, AZ
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01/11/2013 - 10/10/2016 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) SUN CITY, AZ
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10/28/2008 - 02/08/2012 EDWARD JONES (CRD#:250) SURPRISE, AZ
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09/17/2008 - 02/08/2012 EDWARD JONES (CRD#:250) SURPRISE, AZ
For additional information about investment advisers or broker-dealers, please visit
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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
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.