Brian Scott 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

• 10/2012 → 12/2021
  J.P. Morgan Securities Llc
  Phoenix, AZ
• 12/2021 → Present
  Lpl Financial, Llc
  Phoenix, AZ

Previous Registrations

• 2012-10-01 → 2021-12-11
  J.P. Morgan Securities Llc
  Phoenix, AZ
  Phoenix, AZ
  Phoenix, AZ
  Sun City West, AZ
• 2008-11-26 → 2012-10-01
  Chase Investment Services Corp.
  Scottsdale, AZ
  Cave Creek, AZ
  Cave Creek, AZ
  Phoenix, AZ
  Scottsdale, AZ

Other Businesses

1. 11/03/2022 - Exclusive Insurance Brokerage - Not Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 11/03/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 2. 06/10/2024 - Financial Freedom Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/11/2021 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2008-11-11
• S63 Uniform Securities Agent State Law Examination
  2006-07-29

Other Names

• Brian S Smith