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Rashad A Smith

LPl Enterprise, LLC

Brooklyn, NY

Brooklyn, NY

CRD 6016506

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Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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:

Current Employers
Lpl Enterprise, Llc

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

Current Registrations

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

Branch Locations

Brooklyn, NY • United States

33 35Th Street Suite A410, Brooklyn, NY 11232 • 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
Pruco Securities Llc Forest Hills NY 12/2023 11/2024
Stonehenge Management New York NY 11/2018 Present
Douglas Elliman New York NY 01/2017 11/2018
Taskrabbit New York NY 06/2015 01/2017
Lpl Enterprise, Llc Forest Hills NY 11/2024 Present
  • 12/2023 → 11/2024
    Forest Hills, NY
  • 11/2018 → Present
    Stonehenge Management
    New York, NY
  • 01/2017 → 11/2018
    Douglas Elliman
    New York, NY
  • 06/2015 → 01/2017
    Taskrabbit
    New York, NY
  • 11/2024 → Present
    Forest Hills, NY
Previous Registrations
Other Businesses

1) 12/04/2024 - Stonehenge - I interact with residents, vendors and visitors daily. Direct parties to appropriate apartments and handle a large volume of packages for residents - Outside/W-2 Employment - Non Inv Related - At Forest Hills, NY - Start Date 01/30/2017 - 160hrs/mth - 0hrs/mth During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-06-17
S63 Uniform Securities Agent State Law Examination 2023-12-27
  • S66 Uniform Combined State Law Examination
    2024-06-17
  • S63 Uniform Securities Agent State Law Examination
    2023-12-27
Other Names
  • Rashad A Smith
  • Rashad Alexander Smith

View on SEC IAPD

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