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.

Current firm

SMITH BROTHERS FINANCIAL, LLC

Current firm class

mixed wealth managerderived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

May 1, 1989earliest registration or exam on IAPD

Years in industry

37derivedfrom the industry start date

Years at current firm

3derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S65|S63

First exam

Jan 18, 2007

First registration

Nov 1, 2010

Dual registered

no

Other names

JOSEPH B SMITH

IAPD individual key

4692642

• Occurred

  Oct 19, 2022
  Advisor changed firm

  Joseph Brian Smith left Woodbury Financial Services, Inc. for Lpl Financial Llc (registered 2022-10-11)

  Form ADVobserved 5 days ago
• Occurred

  Oct 11, 2022
  Advisor changed firm

  Joseph Brian Smith left Lpl Financial Llc for Smith Brothers Financial, Llc (registered 2022-10-11)

  Form ADVobserved 5 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:9b794aff-6dca-4654-319c-9726fcc55145

First observed

Nov 1, 2010

Last observed

Sep 14, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.