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RIA / WealthAdvisordual registered (broker-dealer)21 years in industry

CLIFTON BRENT SMITH

Advisor at RAYMOND JAMES & ASSOCIATES, INC.

Winter Garden, FL | ATLANTA, GA

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Search this name across graphsid dfx:ria:70d27e2b-a7c6-f119-d4e0-8527c8cf04d2

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Dec 6, 2004 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: RAYMOND JAMES & ASSOCIATES, INC.
Current firm class: national broker-dealer RIAderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Dec 4, 2004earliest registration or exam on IAPD
Years in industry: 21derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Dec 4, 2004
First registration: Dec 6, 2004
Dual registered: yes, broker-dealer
Other names: C. BRENT SMITH|BRENT SMITH
IAPD individual key: 2658251

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Nov 9, 2023	n/a	yes	Winter Garden, FL\|ATLANTA, GA	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Dec 6, 2019	Nov 14, 2023	no	ORLANDO, FL\|LOUISVILLE, KY\|Sarasota, FL\|Atlanta, GA	Previous registration
MORGAN STANLEY	Wirehouse	Apr 18, 2012	Dec 9, 2019	no	WALTHAM, MA\|Louisville, KY\|Orlando, FL	Previous registration
STEGNER INVESTMENT ASSOCIATES INC	Mixed wealth	Mar 9, 2007	Mar 19, 2012	no	LOUISVILLE, KY	Previous registration
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Dec 6, 2004	Jun 5, 2006	no	LOUISVILLE, KY\|SHELBYVILLE, KY\|LOUISVILLE, KY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Nov 14, 2023	Nov 9, 2023	-5	Firm change	Ibd to ibd
MORGAN STANLEY	AMERIPRISE FINANCIAL SERVICES, LLC	Dec 9, 2019	Dec 6, 2019	-3	Firm change	Wirehouse to ibd
STEGNER INVESTMENT ASSOCIATES INC	MORGAN STANLEY	Mar 19, 2012	Apr 18, 2012	30	Firm change	Other
UVEST FINANCIAL SERVICES GROUP, INC.	STEGNER INVESTMENT ASSOCIATES INC	Jun 5, 2006	Mar 9, 2007	277	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
149777:6363:FL:2019-12-02	Dec 9, 2019	Dec 6, 2019	ORLANDO, FL	Firm change

Relationships

Registered with (5)

→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: current employment
Nov 9, 2023 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Dec 6, 2019 to Nov 14, 2023factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Apr 18, 2012 to Dec 9, 2019factForm ADV
→ STEGNER INVESTMENT ASSOCIATES INCRegistered adviserregistration: previous registration
Mar 9, 2007 to Mar 19, 2012factForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Dec 6, 2004 to Jun 5, 2006factForm ADV

Dated events

Occurred
Nov 14, 2023
Advisor changed firm
Clifton Brent Smith left Ameriprise Financial Services, Llc for Raymond James & Associates, Inc. (registered 2023-11-09)
Form ADVobserved 5 days ago