Stephen Edward 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:

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
SC	RA	APPROVED	2025-07-10

SC RA
APPROVED

Since 2025-07-10

Branch Locations

Mt Pleasant, SC • 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

Organization	City	State	From	To
Next Financial Group Inc	Mount Pleasant	SC	06/2009	07/2025
Lpl Financial Llc	Mt Pleasant	SC	07/2025	Present

06/2009 → 07/2025

Next Financial Group Inc

Mount Pleasant, SC
07/2025 → Present

Lpl Financial Llc

Mt Pleasant, SC

Previous Registrations

2009-07-22 → 2025-07-10

Next Financial Group, Inc.

Mt Pleasant, SC

Mt. Pleasant, SC
2008-12-19 → 2009-06-12

Edward Jones

Mt Pleasant, SC

St Louis, MO

Other Businesses

1. 07/10/2025- Smith Group General Partnership- Business Entity For Tax/Investment Purposes Only- INV Related- At Reported Business Location(s)- Start date 11/01/2019- 1 Hour Per Month 2. 07/10/2025- Insurance Trails- Non-Variable Insurance Commission Trails- INV Related- At Reported Business Location(s)- Start date 05/22/2025

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2008-12-05

S66 Uniform Combined State Law Examination

2008-12-05

View on SEC IAPD