Nicholas Joseph 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

• 10/2012 → Present
  Lpl Financial Llc
  Austin, TX

Previous Registrations

• 2008-05-09 → 2012-10-15
  Wells Fargo Clearing Services, Llc
  Westlake Village, CA
  Austin, TX
• 2001-04-12 → 2008-05-21
  Ubs Financial Services Inc.
  Westlake Vil, CA
  Westlake Village, CA
  Austin, TX

Other Businesses

1. 11/03/2014: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - START 10/29/2014 - 5 HR/MO 2 DURING SECS TRDG HRS - LIFE INSURANCE 2. 04/13/2015: SMITH WEALTH MANAGEMENT GROUP TX, LLC - BUSINESS ENTITY FOR TAX/INVESTMENT PURPOSES ONLY - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) - START 03/03/2015 - 2 HR/MO NONE DURING SECS TRDG HRS 3. 07/20/2015: SMITH WEALTH MANAGEMENT GROUP TX, LLC - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 07/14/2015 - 173 HR/MO 6 DURING SECS TRDG HRS

Exams

• S66 Uniform Combined State Law Examination
  2001-03-07

Other Names

• Nick Smith