Lori S Smith

Current Employers

Employment History

• 01/2014 → 01/2020
  Ubs Financial Services Inc.
  Winston-Salem, NC
• 02/2021 → 07/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greensboro, NC
• 02/2020 → 01/2021
  Unemployed
  Greensboro, NC
• 07/2022 → 01/2023
  Mml Investors Services, Llc
  Charlotte, NC
• 07/2022 → 01/2023
  Massmutual Life Insurance Company
  Charlotte, NC
• 01/2023 → 11/2024
  Fidelity Investments
  Winston-Salem, NC
• 01/2025 → Present
  Lpl Financial
  Clemmons, NC

Previous Registrations

• 2023-03-10 → 2024-11-19
  Fidelity Personal And Workplace Advisors
  Winston-Salem, NC
• 2022-01-26 → 2022-07-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greensboro, NC
  New York, NY
• 2014-01-27 → 2020-02-21
  Ubs Financial Services Inc.
  Winston-Salem, NC
• 2013-01-02 → 2013-11-20
  Bb&T Securities, Llc
  Winston-Salem, NC
• 2011-06-08 → 2013-01-02
  Scott & Stringfellow, Llc
  Winston-Salem, NC
• 2002-04-01 → 2011-05-25
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Greensboro, NC
  Greensboro, NC

Other Businesses

1- 01/2025 / Marzano Capital Group / DBA for LPL Business (entity for LPL business) / INV RLTD / AT LOC / 160 HRS MNTH / 8 HRS DURING TRADING / START 02/03/2025 2- 01/2025 / Marzano Capital Group / DBA for RIA Business / INV RLTD / AT LOC / 160 HRS MNTH / 8 HRS DURING TRADING / START 01/31/2025 3) 02/04/2025 - Independent Advisor Alliance, LLC - Investment Related - Registered Investment Advisor Hybrid - Charlotte, NC - Start Date:02/03/2025 - 160 Hrs/Mth - 8 Hrs During Trading.I provide administrative support to Independent Advisor Alliance, LLC, an independent investment advisor firm. I started this business activity in 2/2025. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 02/04/2025 - Independent Advisor Alliance, LLC - Investment Related - Registered Investment Advisor DBA - At Reported Business Location(s) - Start Date:02/03/2025 - 160 Hrs/Mth - 8 Hrs During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2001-05-15
• S63 Uniform Securities Agent State Law Examination
  1998-06-03

Other Names

• Lori S Sluder
• Lori Suzanne Sluder
• Lori Suzanne Smith
• Lori Suzanne Smith
• Lori Sluder Smith