Duane John Smith

Employer firm

Private Advisor Group, LLC CRD 155216

$44.3B regulatory AUM 1,033 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2012 → Present
  Lpl Financial Llc
  Dripping Springs, TX
• 03/2012 → Present
  Private Advisor Group, Llc
  Dripping Springs, TX

Previous Registrations

• 2010-09-03 → 2012-02-03
  Edward Jones
  Portage, MI

Other Businesses

1. 2/22/2012: DJ SMITH FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 100% OF TIME - OWNER. 2. 9/24/2012: PRIVATE ADVISOR GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - (HYBRID) FINANCIAL PLANNING SERVICES ARE OFFERED ON AN HOURLY RATE OR FLATE FEE. - TIME SPENT 100%. 3. 5/23/2016: Private Advisor Group - DBA: (Hybrid) DJ Smith Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/23/2016 - 160 Hours Per Month During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2009-12-17
• S63 Uniform Securities Agent State Law Examination
  1994-02-17

Other Names

• D J Smith