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William E. Smothers

LPl Financial LLC

Bend, OR

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
OR RA APPROVED 2024-10-29
  • OR RA
    APPROVED
    Since 2024-10-29

Branch Locations

749 Nw Arizona St. Suite 100, Bend, OR 97703 • 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
OrganizationCityStateFromTo
Employee Benefit Design, Inc. Lake Oswego OR 07/2001 Present
Kms Financial Services, Inc Seattle WA 04/2002 09/2020
Lpl Financial, Llc Tigard OR 09/2020 Present
  • 07/2001 → Present
    Employee Benefit Design, Inc.
    Lake Oswego, OR
  • 04/2002 → 09/2020
    Kms Financial Services, Inc
    Seattle, WA
  • 09/2020 → Present
    Lpl Financial, Llc
    Tigard, OR
Previous Registrations
  • 2002-04-19 → 2020-09-21
    Kms Financial Services, Inc.
    Lake Oswego, OR
    Tigard, OR
Other Businesses

1. 09/01/1998 - EMPLOYEE BENEFIT DESIGN INC/ OTHER - S CORPORATION/ NOT INVESTMENT RELATED/ 30%/ TIGARD, OR 2. 01/01/2007 - PACIFIC NORTHWEST RETIREMENT PLANNERS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED/ 0%/ TIGARD, OR

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-10-03
  • S66 Uniform Combined State Law Examination
    2001-10-03
Other Names
  • Bill E. Smothers

View on SEC IAPD

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CAPSTONE WEALTH MANAGEMENT GROUP, LLC
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Other Investors

PAUL BRADLEY WATERMAN
Ryan P Jordan
JOHN GRANT ASPELL
Kyle Turner
MARK ANDREW REIFSCHNEIDER
LESLIE DAWN LAMOTTE
ANNA Meiners Hansen
JOHN PAUL LORENZ

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Bend, OR
PROSPERA FINANCIAL SERVICES, INC. · Bend, OR
MORGAN STANLEY · Bend, OR
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BEND, OR
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BEND, OR
ELEVATION CAPITAL ADVISORY · BEND, OR
CAPSTONE WEALTH MANAGEMENT GROUP, LLC · BEND, OR
CAPSTONE WEALTH MANAGEMENT GROUP, INC. · BEND, OR

More in Bend, OR

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