Pamela Putnam 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

• 09/2013 → 03/2017
  Metlife Securities Inc
  Guilford, CT
• 03/2017 → 12/2018
  Mml Investors Services, Llc
  Guilford, CT
• 03/2017 → 12/2018
  Massachusetts Mutual Life Insurance Company
  Guilford, CT
• 12/2018 → Present
  Lpl Financial
  Branford, CT

Previous Registrations

• 2017-03-25 → 2018-12-24
  Mml Investors Services, Llc
  Guilford, CT
• 2013-10-11 → 2017-03-25
  Msi Financial Services, Inc.
  Guilford, CT
• 2009-04-09 → 2013-10-21
  Ameriprise Financial Services, Llc
  Westport, CT
  Greenwich, CT
• 1997-05-16 → 2009-04-23
  Citigroup Global Markets Inc.
  Stamford, CT
  Greenwich, CT
  Greenwich, CT

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-17
• S63 Uniform Securities Agent State Law Examination
  1997-04-04