Gregory Wayne Smith

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2011 → 11/2016
  Wells Fargo Advisors Llc
  Edmond, OK
• 11/2016 → 10/2024
  Wells Fargo Clearing Services, Llc
  Edmond, OK
• 10/2024 → Present
  Lpl Financial Llc
  Oklahoma City, OK

Previous Registrations

• 2011-10-28 → 2024-10-21
  Wells Fargo Clearing Services, Llc
  Edmond, OK
  Purcell, OK
• 2009-06-01 → 2011-11-09
  Morgan Stanley
  Oklahoma City, OK
• 2000-12-04 → 2009-06-01
  Citigroup Global Markets Inc.
  Oklahoma City, OK
  Oklahoma City, OK

Other Businesses

1) 08/2024 - Advise Wealth Management / DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) 2) 11/14/2024 - GWS Investments, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 10/16/2024 - 150 Hours Per Month/ 120 Hours During Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-05-04
• S63 Uniform Securities Agent State Law Examination
  1988-04-27

Designations

• Certified Financial Planner

Other Names

• Greg Smith
• Gregory W Smith
• Gregory W. Smith