Samuel Shaw

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

• 01/2019 → Present
  Lpl Financial, Llc
  Valparaiso, IN
• 06/2016 → 01/2019
  Centier Bank
  Merrillville, IN
• 01/2020 → Present
  R.B. Smith Co. Inc.
  Valparaiso, IN

Previous Registrations

• 2020-02-20 → 2024-12-31
  R.B. Smith Co. Inc.
  Valparaiso, IN

Other Businesses

1. 01/07/2019 - R.B. SMITH CO. INC./ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ INVESTMENT RELATED / 0%/ VALPARAISO, IN 2. 2/25/2020 - R.B. SMITH CO. INC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 01/01/2020 - 4 Hours Per Month During Securities Trading - I provide financial planning and consulting services through R.B Smith Co. Inc., an independent investment advisor firm. I started this business activity in 01/2020. I expect to spend approximately 4 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Exams

• S66 Uniform Combined State Law Examination
  2019-03-15

Designations

• Certified Financial Planner