Best Investors Account Sign in

Natacha Tania Smith

LPl Financial LLC

Flemington, NJ

Claim This Profile
Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2019-01-03
  • NJ RA
    APPROVED
    Since 2019-01-03

Branch Locations

111 Route 31 Suite 222, Flemington, NJ 08822 • 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
OrganizationCityStateFromTo
Lpl Financial Flemington NJ 08/2011 02/2018
1St Global Capital Corp. Chester NJ 02/2018 01/2019
1St Global Advisors, Inc. Chester NJ 02/2018 01/2019
Lpl Financial Llc Flemington NJ 01/2019 Present
  • 08/2011 → 02/2018
    Lpl Financial
    Flemington, NJ
  • 02/2018 → 01/2019
    1St Global Capital Corp.
    Chester, NJ
  • 02/2018 → 01/2019
    1St Global Advisors, Inc.
    Chester, NJ
  • 01/2019 → Present
    Lpl Financial Llc
    Flemington, NJ
Previous Registrations
  • 2018-03-09 → 2018-12-31
    1St Global Advisors Inc
    Chester, NJ
    Chester, NJ
  • 2011-12-22 → 2018-03-12
    Lpl Financial Llc
    Ringoes, NJ
    Morristown, NJ
    Flemington, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-21
S63 Uniform Securities Agent State Law Examination 2005-10-12
  • S65 Uniform Investment Adviser Law Examination
    2011-12-21
  • S63 Uniform Securities Agent State Law Examination
    2005-10-12
Other Names
  • Natacha Tania Smith
  • Natacha Tania Smith

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MORGAN STANLEY
CETERA INVESTMENT ADVISERS LLC
J.P. MORGAN SECURITIES LLC
EDWARD JONES
AMERIPRISE FINANCIAL SERVICES, LLC
RAND FINANCIAL PLANNING, LLC
ARTEMIS WEALTH ADVISORS

Other Investors

Patrick KIERAN Tierney
Maria Irene McKeon
Allan James Sanford
Kevin Douglas Budds
Michelle ELIZABETH Bartosik
EMMA VIRGINIA CAREY
MARA MILLER
Allan R Samilow

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FLEMINGTON, NJ
MORGAN STANLEY · Flemington, NJ
CETERA INVESTMENT ADVISERS LLC · FLEMINGTON, NJ
J.P. MORGAN SECURITIES LLC · FLEMINGTON, NJ
EDWARD JONES · FLEMINGTON, NJ
AMERIPRISE FINANCIAL SERVICES, LLC · FLEMINGTON, NJ
RAND FINANCIAL PLANNING, LLC · FLEMINGTON, NJ
ARTEMIS WEALTH ADVISORS · FLEMINGTON, NJ

More in Flemington, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor