Nathan Alan 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

• 10/2014 → 08/2022
  Cetera Advisor Networks
  Jefferson, OH
• 08/2022 → Present
  Lpl Financial
  Jefferson, OH

Previous Registrations

• 2016-03-17 → 2022-09-01
  Cetera Wealth Services, Llc
  Jefferson, OH
  Westlake, OH

Other Businesses

1- 08/2022 / Pelorus Wealth Management / DBA for LPL Business (entity for LPL business) / Investment Related / Jefferson, OH 44047 2- 10/2014 / Pelorus Financial Group / Non-Variable Insurance / Investment Related / Jefferson, OH 44047 3- 03/06/2024 / NMS Investments LLC / Non-Investment Related / Jefferson, OH / Business Entity For Tax/Investment Purposes Only / Started: 8/29/2022 / 1 Hr/Mo; 0 Hr During Trading.

Exams

• S66 Uniform Combined State Law Examination
  2015-04-24

Other Names

• Nathan Smith