Matthew 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

• 03/2022 → 10/2022
  New York Life Insurance Co
  Charlotte, NC
• 04/2019 → 01/2022
  Clarke Financial Group
  Irvine, CA
• 04/2015 → 03/2017
  Colson Group
  St. Joseph, MI
• 04/2022 → 10/2022
  Nylife Securities Llc
  Charlotte, NC
• 07/2017 → 03/2019
  Cps Insurance Services
  Newport Beach, CA
• 11/2022 → 02/2023
  Tiaa-Cref Individual & Institutional Services, Llc
  Charlotte, NC
• 11/2022 → 02/2023
  Tiaa
  Charlotte, NC
• 04/2017 → 06/2017
  Unemployed
  Irvine, CA
• 02/2022 → 02/2022
  Unemployed
  Charlotte, NC
• 03/2023 → 09/2025
  First Citizens Investor Services
  Raleigh, NC
• 12/2025 → Present
  Lpl Financial Llc
  Fort Mill, SC

Previous Registrations

• 2023-08-15 → 2025-09-22
  First Citizens Investor Services, Inc.
  Charlotte, NC

Exams

• S66 Uniform Combined State Law Examination
  2023-08-14
• S63 Uniform Securities Agent State Law Examination
  2022-09-17

Other Names

• Matthew R Smith
• Matthew Smith
• Matthew Ryan Smith