Ryan James Smith

Current Employers

Employment History

• 05/2014 → Present
  Lpl Financial Llc
  Newburyport, MA
• 06/2014 → Present
  Northeast Planning Associates, Inc
  Newburyport, MA

Previous Registrations

• 2010-03-03 → 2014-05-30
  Msi Financial Services, Inc.
  Newburyport, MA
  Westboro, MA
  Newburyport, MA
• 2001-07-27 → 2008-03-04
  Valic Financial Advisors, Inc.
  Burlington, MA
  White Plains, NY
  Waterbury, CT
  Amherst, MA

Other Businesses

(1) 05/27/2014: Northeast Planning Associates, Inc. - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - 95% Time Spent (2) 06/09/2014: No Business Name - Non-Variable Insurance - Investment Related - 26 Parker Street, Unit B Newburyport, MA 01950 - Start 04/28/2014 - 5 Hr/Mo; 5 Hours During Securities Trading - Life, Health, Disability, LTC, Fixed Annuities (3) 08/26/2016: Northeast Planning Associates, Inc. - Registered Investment Advisor - DBA: Northeast Planning Associates, Inc. - Investment Related - At Reported Business Location(s) - 5% Time Spent - I provide investment advisory services through Northeast Planning Associates, an independent investment advisor firm. I started this business activity in 2/1214. I expect to spend approximately 16 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (4) 11/6/2020 - Newburyport Financial Group, LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 10/31/2020 - 40 Hours Per Month During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2006-12-13
• S65 Uniform Investment Adviser Law Examination
  1999-09-23
• S63 Uniform Securities Agent State Law Examination
  1999-02-19

Other Names

• Ryan J Smith