Daniel John 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

• 10/1998 → Present
  Lpl Financial Llc (Fka Linsco/Private Ledger Corp.)
  Rochester, NY

Other Businesses

(1) 02/25/2008 - NON-VARIABLE INS, OPTIMA FINANCIAL GROUP, INDEPENDENT INS BROKERAGE THAT WE WILL PLACE SOME LIFE INS, LONG TERM CARE INS & FIXED ANNUITY BUSINESS WITH.., 2% TIME SPENT. (2) 10/27/2010 - DBA ONLY, CORNERSTONE ADVISORY GROUP, LLC. (3) 09/19/2013 - KAFL, INC. - NON-VARIABLE INSURANCE - THIS IS AN INDEPENDENT INSURANCE BROKERAGE THAT WE WILL OCCASIONALLY PLACE NON-VARIABLE LIFE INSURANCE, FIXED ANNUITIES AND LONG TERM CARE INSURANCE BUSINESS WITH. - 2% OF TIME SPENT - ROCHESTER, NY

Exams

• S63 Uniform Securities Agent State Law Examination
  1998-11-18

Designations

• Certified Financial Planner

Other Names

• Daniel Smith