Carl Edwin 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

• 01/2014 → Present
  Lpl Financial Llc
  Burlington, KY

Previous Registrations

• 2007-05-09 → 2014-01-31
  Trustee Empowerment & Protection, Inc.
  Burlington, KY
  Troy, MI
• 2000-04-20 → 2005-09-28
  Ameriprise Financial Services, Llc
  Crestview Hills, KY

Other Businesses

1. 1/2/2014: 180 Financial Consulting, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 60%. 2. 1/2/2014: No Business Name - Investment Related - Burlington, KY - Real Estate Rental - Time Spent 2% - Duplex Rental property. 3. 1/3/2014: BTS Properties - Other-BTS Properties - Time Spent 10% - Partnership formed to buy and then sell or rent property. 4. 11/18/2016: Inviting You Home Realty - Investment Related - At Reported Business Location(s) - Mortgage/Real Estate Services - Started 11/17/16 - 2 Hours Per Month During Securities Trading - Sales Agent.

Exams

• S66 Uniform Combined State Law Examination
  2000-04-04
• S63 Uniform Securities Agent State Law Examination
  1989-07-26