Jeff Kevin 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

• 03/1994 → Present
  Southwest Employee Benefits Inc
  Phoenix, AZ
• 01/2009 → 11/2017
  National Planning Corporation
  Scottsdale, AZ
• 11/2017 → Present
  Lpl Financial Llc
  Scottsdale, AZ

Previous Registrations

• 2011-11-17 → 2017-11-29
  National Planning Corporation
  Scottsdale, AZ
  Scottsdale, AZ

Other Businesses

1. 11/29/2017 - SOUTHWEST PROFESSIONAL INSURANCE CONSULTANTS INC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - INSURANCE AGENT - Start Date 01/1994 - 2 Hours Per Month/8 During Securities Trading - GROUP HEALTH (NON-VARIABLE), DENTAL, TERM INSURANCE. 2. 11/29/2017 - SOUTHWEST EMPLOYEE BENEFITS INC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - SOLE-OWNER - Start Date 01/1994 - 0 Hours Per Month/0 During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-10-29
• S63 Uniform Securities Agent State Law Examination
  1995-02-01