Christopher Warren Smith

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 04/1990 → Present
  Prudential Insurance Company Of America
  Edmond, OK
• 04/1990 → 11/2024
  Pruco Securities, Llc.
  Edmond, OK
• 11/2024 → Present
  Lpl Enterprise, Llc
  Edmond, OK

Previous Registrations

• 2000-08-16 → 2024-11-14
  Pruco Securities, Llc.
  Oklahoma City, OK
  Oklahoma City, OK
  Edmond, OK
  Plano, TX

Other Businesses

1) 10/16/2024- Chris W. Smith- Non-Variable Insurance- I sell fixed annuities, health and disability policies- inv. related- at Edmond, OK- start date 09/23/2024- 2hrs/mnth-0hrs during trading 2) 12/11/2024- Chris W. Smith- Non-Variable Insurance- I sell fixed annuities and health Insurance- inv. related- at Edmond, OK- Start date 01/01/1992- 2hrs/mnth-0hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-05-06
• S63 Uniform Securities Agent State Law Examination
  1990-01-12

Other Names

• Chris Smith