Ruben L. 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

• 09/2014 → 05/2022
  Jpmorgan Securities Llc
  San Clemente, CA
• 05/2022 → Present
  Lpl Financial Llc
  San Clemente, CA

Previous Registrations

• 2014-09-29 → 2022-05-03
  J.P. Morgan Securities Llc
  San Clemente, CA
  San Clemente, CA
  San Clemente, CA
  Aliso Viejo, CA
• 2004-03-08 → 2014-09-23
  Osaic Fa, Inc.
  San Diego, CA
  La Jolla, CA

Other Businesses

1)04/04/2022 - Harbor Rock Wealth Management LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2022 2)04/04/2022 - Rental LLC - PARKER, LLC - Owner - Non-Inv Rel - Carlsbad, CA 3)07/20/2022 - Harbor Rock Insurance Services - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Writing Agent - Start Date - 07/06/2022 - 4 Hours Per Month/4 Hours During Securities Trading. 4)07/20/2022 - Pelorus Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Writing Agent - Start Date - 07/06/2022 - 4 Hours Per Month/4 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2004-02-26

Designations

• Certified Financial Planner

Other Names

• Ruben L Smith
• Ruben Lowell Smith