Todd Joseph Smolen

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2023-11-24
TX	RA	APPROVED	2023-11-24

NY RA
APPROVED

Since 2023-11-24
TX RA
APPROVED

Since 2023-11-24

Branch Locations

Clifton Park, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
The Ayco Company, L.P./Mercer Allied	Latham	NY	05/2007	01/2021
Ayco/Goldman Sachs & Co. Llc	Cohoes	NY	01/2021	11/2023
Lpl Financial Llc	Clifton Park	NY	11/2023	Present

05/2007 → 01/2021

The Ayco Company, L.P./Mercer Allied

Latham, NY
01/2021 → 11/2023

Ayco/Goldman Sachs & Co. Llc

Cohoes, NY
11/2023 → Present

Lpl Financial Llc

Clifton Park, NY

Previous Registrations

2010-02-16 → 2023-12-20

Goldman Sachs Wealth Services, L.P.

Latham, NY

Cohoes, NY

Other Businesses

1) 09/14/2023 - Smolen Wealth Management Group LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 02/21/2024 - Smolen Wealth Management Group LLC - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Tax Preparer - Started: 2/14/2024 - 1 Hr/Mo; 0 Hr During Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-02-25

S66 Uniform Combined State Law Examination

2008-02-25

View on SEC IAPD