Breanne Nicole 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
TX	RA	APPROVED_RES	2024-10-18
CA	RA	APPROVED	2020-07-06

TX RA
APPROVED_RES

Since 2024-10-18
CA RA
APPROVED

Since 2020-07-06

Branch Locations

6345 Balboa Blvd, Ste 384, Encino, CA 91316 • United States

Highland, CA • 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
Target	Rialto	CA	08/2018	05/2020
Nestle Waters	Ontario	CA	01/2016	08/2018
Lpl Financial Llc	Encino	CA	05/2020	Present

08/2018 → 05/2020

Target

Rialto, CA
01/2016 → 08/2018

Nestle Waters

Ontario, CA
05/2020 → Present

Lpl Financial Llc

Encino, CA

Other Businesses

1. 5/28/2020 - Focus Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 11/27/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 10/19/2020 - 10 Hours Per Month/0 Hours During Securities Trading - Disability, and long term care insurance.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2020-06-20

S66 Uniform Combined State Law Examination

2020-06-20

Other Names

Breanne Nicole De Anda

View on SEC IAPD