Cari Anne Smith

Current Employers

Employment History

• 09/2012 → 05/2019
  Lpl Financial Llc
  Fort Mill, SC
• 05/2019 → Present
  Lpl Financial, Llc
  Golden, CO
• 05/2019 → 09/2020
  Western Wealth Management
  Golden, CO
• 10/2020 → Present
  Private Advisor Group, Llc
  Golden, CO

Previous Registrations

• 2019-05-31 → 2020-10-05
  Western Wealth Management Llc
  Golden, CO
• 2006-05-08 → 2012-04-23
  Lpl Financial Llc
  Golden, CO
  San Diego, CA
  San Diego, CA

Other Businesses

1. 11/4/2020 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/05/2020 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Independent Advisor Alliance, LLC an independent investment advisor firm. I started this business activity in 11/2020. I expect to spend approximately 160 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.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 2. 11/6/2020 - Private Advisor Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 10/05/2020 - 160 Hours Per Month During Securities Trading. 3. 6/29/2021 - No Business Name - Investment Related - 6931 S Columbine Rd, Evergreen CO 80439 & Golden, CO 80401 - Real Estate Rental - Start Date: 5/1/2021 - 1 Hours Per Month/0 Hours During Securities Trading - Renting condo.

Exams

• S66 Uniform Combined State Law Examination
  2006-05-06
• S63 Uniform Securities Agent State Law Examination
  1999-03-31

Other Names

• Cari Anne Smith