Sean Brian 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

• 10/2015 → 09/2016
  Mass Mutual Life Insurance Company
  Honolulu, HI
• 10/2015 → 09/2016
  Mml Investors Services
  Honolulu, HI
• 09/2016 → 04/2018
  Sii
  Honolulu, HI
• 04/2018 → 12/2019
  Cambridge Investment Research, Inc.
  Fairfield, IA
• 04/2018 → 12/2019
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA
• 01/2020 → 05/2024
  The Strategic Financial Alliance, Inc,
  Atlanta, GA
• 05/2024 → Present
  Lpl Financial Llc
  Honolulu, HI

Previous Registrations

• 2020-01-02 → 2024-05-07
  The Strategic Financial Alliance, Inc.
  Kailua, HI
  Honolulu, HI
  Atlanta, GA
  Honolulu, HI
• 2023-07-17 → 2024-05-07
  Strategic Blueprint, Llc
  Honolulu, HI
• 2018-04-17 → 2019-12-31
  Cambridge Investment Research Advisors, Inc.
  Honolulu, HI
• 2016-09-30 → 2018-04-23
  Signator Investors, Inc.
  Scottsdale, AZ
  Honolulu, HI
  Honolulu, HI
• 2016-03-18 → 2016-10-10
  Mml Investors Services, Llc
  Honolulu, HI

Other Businesses

1-03/2024 / THE RETIREMENT COACH LLC / DBA for LPL Business (entity for LPL business) / Investment Related / 700 hrs mnth / 35 hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-02-19
• S63 Uniform Securities Agent State Law Examination
  2011-12-16