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John August Smith

LPl Financial LLC

Scranton, PA

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Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-03-03
  • PA RA
    APPROVED
    Since 2022-03-03

Branch Locations

1101 Penn Avenue, Suite A, Scranton, PA 18509 • 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
OrganizationCityStateFromTo
Pitt-Ohio Express Inc. Pittsburgh PA 06/1992 04/2021
Nationwide Securities, Inc. Columbus OH 04/2002 12/2019
Lpl Financial Llc Clarks Summit PA 01/2020 Present
  • 06/1992 → 04/2021
    Pitt-Ohio Express Inc.
    Pittsburgh, PA
  • 04/2002 → 12/2019
    Nationwide Securities, Inc.
    Columbus, OH
  • 01/2020 → Present
    Clarks Summit, PA
Other Businesses

1. 1/8/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 1/2020 - Basic life insurance and fixed annuities. 2. 1/8/2020 - Oak and Stone Capital Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 7/6/2020 - Oak & Stone Capital - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/30/2020 - 10 Hours Per Month During Securities Trading. 4. 03/09/2022 - FINANCIAL TRANSITION ADVISORS, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/01/2022 - 20 Hours Per Month/20 Hours During Securities Trading. 5. 04/28/2022 - CENTRAL AIR FREIGHT SERVICES, INC - Not Investment Related - 20 S POWELL DR HAZLETON PA 18201 - Outside/W-2 Employment - SALES REPRESENTATIVE - Start Date - 04/18/2022 - 40 Hours Per Month/ 40 Hours During Securities Trading - SELLING TRANSPORTATION SERVICES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-10-29
S63 Uniform Securities Agent State Law Examination 1998-11-13
  • S65 Uniform Investment Adviser Law Examination
    2021-10-29
  • S63 Uniform Securities Agent State Law Examination
    1998-11-13
Other Names
  • Jay Smith

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