Douglas Sean Smooke

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2013-06-24
CO	RA	APPROVED	2003-11-24

TX RA
APPROVED_RES

Since 2013-06-24
CO RA
APPROVED

Since 2003-11-24

Branch Locations

Denver, CO • 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
Lpl Financial Llc	Englewood	CO	10/2003	Present

10/2003 → Present

Lpl Financial Llc

Englewood, CO

Other Businesses

1. 10/7/2005 - AMP FINANCIAL GROUP - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 2/1/2008 - RENAISSANCE WEALTH MANAGEMENT - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS).

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2003-11-21

S66 Uniform Combined State Law Examination

2003-11-21

Other Names

Dennis Smooke

View on SEC IAPD