Darden Winston 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

• 09/1999 → 06/2020
  Axa Advisors, Llc
  New York, NY
• 09/1999 → 12/2022
  Equitable Advisors, Llc
  New York, NY
• 12/2022 → Present
  Lpl Financial Llc
  South Boston, PA

Previous Registrations

• 2000-05-09 → 2022-12-21
  Equitable Advisors, Llc
  New York, NY
  South Boston, VA
  South Boston, VA

Other Businesses

1) 12/14/2022 Darden W. Smith & Associates DBA for LPL Business (entity for LPL business) inv rel - At reported business location(s) 2) 12/14/2022 Smith Properties Group, LLC -OWNER - INV REL - SOUTH BOSTON VA 24592 - START 05/03/2004 - 5HRS MO

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-09-07
• S63 Uniform Securities Agent State Law Examination
  1991-12-18

Other Names

• Darden W Smith