Shawn Matthew Smith

Current Employers

Employment History

• 09/2017 → 08/2019
  Bank Of America/Merrill Lynch
  San Diego, CA
• 05/2016 → 09/2017
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rolling Meadows, IL
• 09/2019 → Present
  Lpl Financial, Llc
  Lake Mary, CA
• 09/2019 → Present
  Collaborative Wealth
  Lake Mary, FL

Previous Registrations

• 2016-12-05 → 2019-08-19
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Jacksonville, FL
  New York, NY
  Jacksonville, FL
  Chicago, IL
  San Diego, CA

Other Businesses

1. 9/23/2019 - Collaborative Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 12/11/2019 - Collaborative Wealth - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - ADMIN. - Started 09/08/2006 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Collaborative Wealth, an independent investment advisor firm. I started this business activity in 12/2019. 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. 3. 10/20/2021 - SMS Wealth Advisors LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 01/04/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 4. 11/10/2025 - Collaborative Wealth Insurance Agency - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 10/01/2025 - 12 hours per month/ 5 hours during trading

Exams

• S66 Uniform Combined State Law Examination
  2016-12-02
• S63 Uniform Securities Agent State Law Examination
  2015-01-16

Other Names

• Shawn Smith