Brian D. Smith
Owner, Financial Advisor
Brian D. Smith has worked in the investment management and financial industry over 30 years. He is perhaps best known for his investment firm, Southeast Financial Advisors founded in 1998 in Greenville, South Carolina. As a result of many years of serving the investment and financial planning markets, Brian Smith has developed a unique investment philosophy that takes different approaches to financial markets, depending on various broad economic indicators along with diligent company research. In general, his style can be classified as a “top-down” approach, one in which the economy as a whole is studied in order to locate the industries with the best prospects for near-term gains, and then he chooses individual stocks from within those key industries.
Licensing:
- Registered Investment Advisor (Series 65)
- Series Representative (Series 7)
- General Securities Principal (Series 24)
- State Securities Agent (Series 63)
- Financial and Operations Principal (Series 63)
- Investment Company and Variable Contracts Products Registered Principal (Series 26)
- Life, Health, Annuities, Property & Casualty Insurance Licensed
Educational Background:
- University of Arkansas – BSBA Marketing Management
- College for Financial Planning – CFP Certification Professional Education Program
Business Experience:
- Southeast Financial Advisors, Principal, CCO; 1998 – Present
- SFA Financial, LLC, Principal; 2009 – Present
- Colony Park Financial Service, LLC, Reg Rep; 2008 – 2009
- The Leaders Group, Reg Rep; 1996 – 2007
- Rushing Financial Group; 1993 – 1996
Check the background of this investment professional on FINRA’s BrokerCheck
Michelle Emmons
Vice-President, Financial Advisor
Michelle Emmons has a degree in both Finance and Business Administration from Indiana Wesleyan University. She moved to South Carolina the summer after graduation and has been working in the financial industry, both at a local bank and a large brokerage firm, prior to joining Southeast Financial Advisors, LLC in the fall of 2005. Michelle Emmons currently serves as Vice President for Southeast Financial Advisors, LLC. She is involved in compliance and supervision of new accounts and the ongoing monitoring of clients’ accounts. She also is in charge of research, trading, and allocation of accounts.
Licensing:
- Registered Investment Advisor (Series 65)
- Securities Representative (Series 7)
- Municipal Fund Securities Limited Principal (Series 51)
- State Securities Agent (Series 63)
- General Securities Principal (Series 24)
- Life, Health, & Annuities Insurance Licensed
Educational Background:
- Indiana Wesleyan University – BS in Finance & Business Administration
Business Experience:
- Southeast Financial Advisors, LLC – Financial Advisor from 2008 to Present
- SFA Financial, LLC – Principal, Chief Compliance Officer, AML Officer from 2009 to 12/2023
- Colony Park Financial Services, LLC – Registered Rep from 2008 to 2009
- Southeast Financial Advisors, LLC – Customer Service Rep from 2005 to 2008
- AG Edwards – Cashier and Wire Operator from 2004 – 2005
- The Palmetto Bank – Bank Teller from 2002 to 2004
Check the background of this investment professional on FINRA’s BrokerCheck
Let’s work together
Our job is to assist in the day to day management of your investment
and retirement accounts with YOUR financial goals in mind.
Call us
864-284-6511 | Monday – Friday
Invest@sfafinancial.com
Office
107 Manly Street
Greenville, South Carolina