Cole 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

• 10/2020 → 09/2023
  Ameriprise Financial Services, Llc
  Iron Mountain, MI
• 05/2019 → 10/2020
  Verso Corporation
  Quinnesec, MI
• 06/2014 → 05/2019
  Systems Control
  Iron Mountain, MI
• 09/2023 → Present
  Lpl Financial Llc
  Iron Mountain, MI

Previous Registrations

• 2021-09-16 → 2023-09-12
  Ameriprise Financial Services, Llc
  Iron Mountain, MI

Other Businesses

1) 08/23/2023 - insight Wealth Solutions LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month.

Exams

• S66 Uniform Combined State Law Examination
  2021-09-03

Other Names

• Cole Smith
• Cole Dwayne Smith