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10 N. Third Street, Geneva, IL 60134 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-06-19 |
| IL | RA | APPROVED | 2017-07-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| National Planning Corporation | Geneva | IL | 12/2011 | 11/2017 |
| Lpl Financial Llc | Geneva | IL | 11/2017 | Present |
| Leelyn Smith, Llc | Geneva | IL | 12/2011 | Present |
| Leelyn Smith Tax, Llc | Geneva | IL | 03/2020 | Present |
1. 1/9/2018 - The Retirement Network, Ltd. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 11/30/2017 - 40 Hours Per Month During Securities Trading. 2. 5/11/2018 - THE RETIREMENT NETWORK LTD - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - PRESIDENT/IAR - Started 11/29/2017 - 20 Hours Per Month During Securities Trading - I provide investment advisory services through The Retirement Network LTD, an independent investment advisor firm. I started this business activity in 11/29/2017. I expect to spend approximately 20 hours per month] on this activity. Please see the Form ADV of the advisory firm 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. 3. 6/22/2018 - The Retirement Network - Investment Related - At Reported Business Location(s) - Insurance Agency - Start Date: 06/20/2018 - 1 Hour Per Month/1 Hour During Securities Trading. 4. 06/20/2019 - State And Third, LLC - Investment related - Geneva, IL 60134 - Real Estate Rental - start date:06/12/2019 - 2 hrs/mo - 1 hr during trading. 5. 06/20/2019 - 10 North Third, LLC - Investment related - Geneva, IL 60134 - Real Estate Rental - start date:06/12/2019 - 2 hrs/mo - 1 hr during trading. 6. 06/24/2019 - The Retirement Network - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/21/2019 - 100 Hours Per Month/100 Hours During Securities Trading. 7. 3/12/2020 - Leelyn Smith - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 2/4/2020. 8. 5/11/2020 - Leelyn Smith Tax, LLC - DBA: Leelyn Smith - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Owner - Started 3/12/2020. 9. 3/31/2023 - Leelyn Smith LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 02/04/2020 - 150 Hours Per Month/150 Hours During Securities Trading - I provide investment advisory services through Leelyn Smith LLC, an independent investment advisor firm. I started this business activity in 02/2022. I expect to spend approximately 150 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. 10. 05/11/2023 - Andrew R Grider, Inc. - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date 04/16/2020 - 1 Hour Per Month/1 Hour During Securities Trading 11. 05/19/2023 - Emergent Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 03/01/2023 - 5 Hours Per Month/5 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-12-09 |
| S63 | Uniform Securities Agent State Law Examination | 2009-04-17 |
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