Christopher Dee Smith

Current Employers

Employment History

• 10/2012 → Present
  Lpl Financial Llc
  Boca Raton, FL
• 11/2012 → Present
  Gaines Financial Group
  Boca Raton, FL

Previous Registrations

• 2012-11-13 → 2022-04-27
  Gaines Financial Group
  Boca Raton, FL
• 2011-06-29 → 2012-10-04
  Fifth Third Securities, Inc.
  Fort Lauderdale, FL
  West Palm Beach, FL
  Lake Worth, FL
  Palm Beach Gardens, FL
  Boca Raton, FL
  Pembroke Pines, FL
  Boca Raton, FL
  Miramar, FL

Other Businesses

1. 11/21/2013 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - OFFER THESE PRODUCTS OR SERVICES TO CLIENTS OR PROSPECTS SHOULD THEY NEED OR WANT THEM. 2. 05/17/2022 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 04/07/2022 - 80 Hours Per Month/ 4 Hours During Securities Trading - Time Spent 50% - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 80 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. 3. 08/22/2022 - Chris Smith Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 08/10/2022 - 120 Hours Per Month/6 Hours During Securities Trading. 4. 10/26/2023 - Mortgage/Real Estate Services - Real Estate Agent - Not Investment Related - 11290 Legacy Avenue, Suite 210, Palm Beach Gardens, FL 33410 - Start Date 10/25/2023 - 8 Hours Per Month/ 1 Hour During Trading

Exams

• S66 Uniform Combined State Law Examination
  2011-05-26
• S65 Uniform Investment Adviser Law Examination
  1994-07-12
• S63 Uniform Securities Agent State Law Examination
  1994-05-16