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Jeffrey Bruce Smith

LPl Financial LLC

Basking Ridge, NJ

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2018-02-14
WA RA APPROVED 2018-02-14
  • NJ RA
    APPROVED
    Since 2018-02-14
  • WA RA
    APPROVED
    Since 2018-02-14

Branch Locations

73 Mountainview Blvd, Basking Ridge, NJ 07920 • 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
Affinity Federal Credit Union Basking Ridge NJ 06/2009 Present
Invest Financial Corporation Basking Ridge NJ 01/2013 Present
Lpl Financial Llc Basking Ridge NJ 02/2018 Present
  • 06/2009 → Present
    Affinity Federal Credit Union
    Basking Ridge, NJ
  • 01/2013 → Present
    Invest Financial Corporation
    Basking Ridge, NJ
  • 02/2018 → Present
    Lpl Financial Llc
    Basking Ridge, NJ
Previous Registrations
  • 2013-01-16 → 2018-02-14
    Invest Financial Corporation
    Basking Ridge, NJ
    Appleton, WI
  • 2009-06-10 → 2013-01-30
    Affinity Investment Services, Llc
    Basking Ridge, NJ
    Basking Ridge, NJ
    Basking Ridge, NJ
    Liberty Corner, NJ
  • 2004-07-07 → 2009-06-11
    Osaic Wealth, Inc.
    New York, NY
    West Orange, NJ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-10-17
S63 Uniform Securities Agent State Law Examination 1993-03-08
  • S65 Uniform Investment Adviser Law Examination
    1994-10-17
  • S63 Uniform Securities Agent State Law Examination
    1993-03-08
Other Names
  • Jeffrey Smith

View on SEC IAPD

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