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James Matthew Smythwood

LPl Enterprise, LLC

Baton Rouge, LA

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Current Employers
Lpl Enterprise, Llc

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

Current Registrations

AuthorityCategoryStatusDate
LA RA APPROVED 2025-08-07
TX RA APPROVED 2025-08-06
  • LA RA
    APPROVED
    Since 2025-08-07
  • TX RA
    APPROVED
    Since 2025-08-06

Branch Locations

3054 Monterrey Drive, Baton Rouge, LA 70814 • 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
Mutual Of America Metairie LA 11/2022 02/2025
Capital One Bank Covington LA 07/2006 03/2022
Unemployed Covington LA 03/2022 11/2022
Lpl Enterprise Baton Rouge LA 02/2025 Present
  • 11/2022 → 02/2025
    Mutual Of America
    Metairie, LA
  • 07/2006 → 03/2022
    Capital One Bank
    Covington, LA
  • 03/2022 → 11/2022
    Unemployed
    Covington, LA
  • 02/2025 → Present
    Lpl Enterprise
    Baton Rouge, LA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-06-30
S63 Uniform Securities Agent State Law Examination 2023-03-06
  • S65 Uniform Investment Adviser Law Examination
    2025-06-30
  • S63 Uniform Securities Agent State Law Examination
    2023-03-06

View on SEC IAPD

Other Firms

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CETERA INVESTMENT ADVISERS LLC
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
3RD STREET CAPITAL MANAGEMENT L.L.C.
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Other Investors

RYAN MATTHEW MALONE
Andrew K Scholl
DANIELLE T CREPPEL
Thomas S Piland
BRIAN M SARTIN
Michael T Fels
Paul B Langston
TERENCE E GINN

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
CETERA INVESTMENT ADVISERS LLC · BATON ROUGE, LA
RAYMOND JAMES & ASSOCIATES, INC. · BATON ROUGE, LA
BERNHARD CAPITAL PARTNERS MANAGEMENT, LP · BATON ROUGE, LA
MORGAN STANLEY · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · Baton Rouge, LA
J.P. MORGAN SECURITIES LLC · BATON ROUGE, LA

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