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Todd Hutson Smith

LPl Financial LLC

Newbury Park, CA

CRD 1327056

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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

AuthorityCategoryStatusDate
CA RA APPROVED 2017-11-29
  • CA RA
    APPROVED
    Since 2017-11-29

Branch Locations

Newbury Park, CA • 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
National Planning Corporation Calabasas CA 08/2009 11/2017
Lpl Financial Llc Calabasas CA 11/2017 Present
  • 08/2009 → 11/2017
    National Planning Corporation
    Calabasas, CA
  • 11/2017 → Present
    Lpl Financial Llc
    Calabasas, CA
Previous Registrations
  • 2011-03-01 → 2017-11-29
    National Planning Corporation
    Calabasas, CA
  • 2009-03-23 → 2009-08-28
    Cetera Wealth Services, Llc
    Santa Barbara, CA
  • 2001-03-14 → 2009-01-05
    National Planning Corporation
    Calabasas, CA
    Calabasas, CA
Other Businesses

1. 11/29/2017 - No Business Name - Not Investment Related - Other - Musical DJ.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-30
S63 Uniform Securities Agent State Law Examination 1985-09-06
  • S65 Uniform Investment Adviser Law Examination
    1999-12-30
  • S63 Uniform Securities Agent State Law Examination
    1985-09-06
Designations
  • Chartered Financial Consultant

View on SEC IAPD

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