Kenneth Ray 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

• 05/2015 → Present
  Lpl Financial, Llc
  Hagerstown, MD

Previous Registrations

• 2014-01-13 → 2015-05-11
  Santander Securities Llc
  Hagerstown, MD
  Chambersburg, PA
  Hagerstown, MD
  Hagerstown, MD
  Chambersburg, PA
  Harrisburg, PA
  Frederick, MD
  Olney, MD
  Bethesda, MD
  Gaithersburg, MD
• 1999-05-12 → 2003-08-26
  Raymond James Financial Services, Inc.
  Hagerstown, MD

Other Businesses

(1) 05/25/2015 - STERLING FINANCIAL MANAGEMENT - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - 1829 HOWELL RD HAGERSTOWN, MD 21740 - START 05/11/2015 - 130 HRS/MO DURING SECS TRDG HRS (2) 10/16/2020 - Woodsboro Financial Services, Inc. - DBA: Woodsboro Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 9/22/2020 - 10 Hours Per Month/10 Hours During Securities Trading. (3) 10/22/2020 - Woodsboro Financial Services - Investment Related - At Reported Business Location(s) - Financial Institution Duty - Institutional Services Financial Advisor - Start Date: 9/22/2020 - 10 Hours Per Month/10 Hours During Securities Trading. (4) 7/21/2021 - BCT Investments - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/30/2021 - 25 Hours Per Month/25 Hour During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2013-12-27
• S63 Uniform Securities Agent State Law Examination
  1991-05-22

Other Names

• Ken Smith