Samuel J Smith
Investment adviser representative at LPL Financial LLC
10 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCJul 2024 to now
- LPLJul 2024 to now
- Flagstar BankJun 2024 to now
- LPL Financial LLCJul 2023 to Jun 2024
- Bancwest Investment Services, IncNov 2021 to Jun 2024
- Bank of the WestNov 2021 to Jun 2024
- UnemployedJul 2021 to Oct 2021
- Desert Financial Credit UnionJul 2020 to Jun 2021
- Desert Financial Wealth ManagementJul 2020 to Jun 2021
- Raymond James Financial Services Advisors, IncJul 2020 to Jun 2021
- Raymond James Financial Services, IncJul 2020 to Jun 2021
- Bank of America, N.A.Nov 2016 to Jul 2020
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 2016 to Jul 2020
Exams passed
- Series 66 · Uniform Combined State Law2016
State registrations
Registered as an investment adviser representative in 2 states (AZ, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5883102
- Firm CRD
- 6413