Michael Keith 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

• 09/2014 → 08/2017
  Ubs Financial Services Inc
  Barrington, IL
• 08/2017 → Present
  Lpl Financial, Llc
  Village Of Lakewood, IL
• 08/2017 → Present
  Global Retirement Partners, Llc
  Village Of Lakewood, IL

Previous Registrations

• 2014-09-25 → 2017-09-15
  Ubs Financial Services Inc.
  Northbrook, IL
  Barrington, IL
• 2011-11-04 → 2014-09-17
  Plexus Financial Services, Llc
  Deer Park, IL
  Deer Park, IL
• 2013-06-28 → 2014-05-14
  Commonwealth Financial Network
  Deer Park, IL

Other Businesses

1. 8/31/2017 - Global Retirement Partners - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/01/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Global Retirement Partners, an independent investment advisor firm. I started this business activity in 7/2017. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firms 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. 2. 8/31/2017 - INSIGHT FINANCIAL PARTNERS, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 8/1/2017 - Time Spent 100%. 3. 9/5/2017 - INSIGHT FINANCIAL PARTNERS, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 8/1/2017 - 160 Hours Per Month During Securities Trading - Time Spent 100%. 4. 5/10/2018 - No Business Name - Investment Related - 7109 Braemar Circle Lakewood, Illinois 60014 - Other-Notary Public - Start Date:08/31/2017 - 1 Hour Per Month/0 Hours During Trading. 5. 09/09/2021 - The Center for Board Certified Fiduciaries - Not Investment Related - At Reported Business Location(s) - For-Profit Board Member - Start Date: 06/18/2021 - 16 Hours Per Month/4 Hours During Securities Trading.

Exams

• S66 Uniform Combined State Law Examination
  2011-11-03
• S63 Uniform Securities Agent State Law Examination
  2007-12-10

Other Names

• Mike Smith