James B 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

• 02/2014 → 02/2024
  Morgan Stanley
  Red Bank, NJ
• 01/2015 → 02/2024
  Morgan Stanley Private Bank, National Association
  New York, NY
• 02/2024 → Present
  Lpl Financial Llc
  Mount Laurel, NJ
• 01/2015 → Present
  Morgan Stanley Private Bank, N.A
  New York, NY

Previous Registrations

• 2014-04-29 → 2024-02-16
  Morgan Stanley
  Red Bank, NJ

Other Businesses

1) 01/2024 - Peak Wealth Partners/ DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent 2) 01/2024 - XL Holdings LLC / Business Entity For Tax/Investment Purposes Only / Non. Inv. Related / Rumson NJ / Start date 01/04/2024 - 3) 01/2024 - Val's Tavern / Business Owner / Non. Inv. Related / Rumson NJ / Start date 01/04/2024 - 10 Hrs per month - 5 % Time Spent 4) 01/2024 - Round Lake Partners / Business Entity For Tax/Investment Purposes Only / Non. Inv. Related / Rumson NJ / Start date 01/04/2024 5) 01/2024 -Gladstone Wealth Partners /DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s)160 Hrs per month / 100% Time Spent

Exams

• S66 Uniform Combined State Law Examination
  2013-09-19

Other Names

• James Brian Smith