Gregory Lawrence Smith

Current Employers

Lpl Financial Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2022-04-06
CO	RA	APPROVED	2021-04-08

TX RA
APPROVED_RES

Since 2022-04-06
CO RA
APPROVED

Since 2021-04-08

Branch Locations

2435 Fremont Dr, Canon City, CO 81212-2601 • United States

3606 Austin Bluffs Pkwy, Colorado Springs, CO 80918 • United States

6385 Corporate Dr Ste 205, Colorado Springs, CO 80919 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Massachusetts Mutual Life Insurance Company	Greenwood Village	CO	06/2017	10/2018
Mml Investors Services, Llc	Greenwood Village	CO	01/2018	10/2018
Air Force Academy Athletic Department	Colorado Springs	CO	10/2015	06/2017
Morgan Stanley	Colorado Springs	CO	10/2018	11/2020
Morgan Stanley Private Bank, N.A	New York	NY	12/2018	11/2020
Unemployed	Colorado Springs	CO	11/2020	03/2021
Lpl Financial Llc	Colorado Springs	CO	03/2021	Present

06/2017 → 10/2018

Massachusetts Mutual Life Insurance Company

Greenwood Village, CO
01/2018 → 10/2018

Mml Investors Services, Llc

Greenwood Village, CO
10/2015 → 06/2017

Air Force Academy Athletic Department

Colorado Springs, CO
10/2018 → 11/2020

Morgan Stanley

Colorado Springs, CO
12/2018 → 11/2020

Morgan Stanley Private Bank, N.A

New York, NY
11/2020 → 03/2021

Unemployed

Colorado Springs, CO
03/2021 → Present

Lpl Financial Llc

Colorado Springs, CO

Previous Registrations

2018-12-26 → 2020-12-02

Morgan Stanley

Colorado Springs, CO

Other Businesses

1) 03/18/2021 - Asset Architects LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 03/2021 2) 03/19/2021 - Real Estate Property - Owner - Inv Rel - Miltonvale Ks 3) 11/12/2021 - Investment Center Located at Credit Union of Colorado - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/01/2021 - 80 Hours Per Month/80 Hours During Securities Trading. 4) 12/30/2021 - Asbury Wealth Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/22/2021 - 20 Hours Per Month/20 Hours During Securities Trading. 5) 10/14/2022 - Lawrence Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/12/2022 - 0 Hours Per Month/0 Hours During Securities Trading.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-12-26
S63	Uniform Securities Agent State Law Examination	2018-07-05

S66 Uniform Combined State Law Examination

2018-12-26
S63 Uniform Securities Agent State Law Examination

2018-07-05

Other Names

Gregory Smith

View on SEC IAPD