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Sandra Ann Smith

LPl Enterprise, LLC

Tucson, AZ

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-11-14
  • AZ RA
    APPROVED
    Since 2024-11-14

Branch Locations

4626 E. Ft. Lowell Rd Suite G, Tucson, AZ 85712 • 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
OrganizationCityStateFromTo
Prudential Insurance Company Of America Tucson AZ 05/2012 Present
Pruco Securities, Llc. Tucson AZ 05/2012 11/2024
Lpl Enterprise, Llc Tucson AZ 11/2024 Present
Previous Registrations
Other Businesses

1) 12/13/2024-Auxilia Asset Management-DBA for LPL business-Inv Related-At reported business location (s)-160 hrs/mth-120/mth during trading hours

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2013-03-07
S63 Uniform Securities Agent State Law Examination 2012-02-02
  • S66 Uniform Combined State Law Examination
    2013-03-07
  • S63 Uniform Securities Agent State Law Examination
    2012-02-02

View on SEC IAPD

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COMMONWEALTH FINANCIAL NETWORK

Other Investors

MARTIN ANTHONY SMITH
ALEXANDER DEVEREAUX PARRS
ROBIN RODGERS DOLEZAL
DARREN GRANT HESSELINK
DANIEL SHAY NENTL
DAVID A. NIICHEL
EMILY MARIE Delgado
DAVID CUNNINGHAM RENZI

Other Offices

IRONWOOD FINANCIAL, LLC · TUCSON, AZ
IRONWOOD FINANCIAL, LLC · TUCSON, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · TUCSON, AZ
WELLS FARGO CLEARING SERVICES, LLC · TUCSON, AZ
ALLSTATE FINANCIAL ADVISORS, LLC · Tucson, AZ
AIO FINANCIAL, LLC · TUCSON, AZ
EDWARD JONES · TUCSON, AZ
FINANCIAL DIRECTIONS LLC · TUCSON, AZ

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