Brackton D 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TN	RA	APPROVED	2022-09-26
TX	RA	APPROVED	2022-09-26

TN RA
APPROVED

Since 2022-09-26
TX RA
APPROVED

Since 2022-09-26

Branch Locations

421 N State Of Franklin Rd, Johnson City, TN 37604-6175 • 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

Organization	City	State	From	To
Edward Jones	St Louis	MO	08/2015	09/2022
Lpl Financial Llc	Johnson City	TN	09/2022	Present
Eastman Credit Union	Johnson City	TN	09/2022	Present

08/2015 → 09/2022

Edward Jones

St Louis, MO
09/2022 → Present

Lpl Financial Llc

Johnson City, TN
09/2022 → Present

Eastman Credit Union

Johnson City, TN

Previous Registrations

2015-10-05 → 2022-09-27

Edward Jones

Riceville, TN

St Louis, MO

Maryland Heights, MO

Johnson City, TN

Other Businesses

1) 9/2022- ECU Asset Management-DBA for LPL Business (entity for LPL business)- inv. related- -at reported business location(s) 2) 9/2022- Spring Street Sandwich Company- owner- inv. related- 100 Spring st. Johnson City, TN- start date 4/29/2022- 0hrs

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-03

S66 Uniform Combined State Law Examination

2015-10-03

Designations

Certified Financial Planner

Other Names

Brackton David Smith

View on SEC IAPD