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Ronald Smith

LPL Financial LLC
39 Years of Experience
Langhorne, PA
2 DisclosuresBroker
View SEC Summary
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Ronald Smith is a registered investment advisor at LPL Financial LLC, based in Langhorne, PA, with 39 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

402 Middletown Blvd Ste 204, Langhorne, PA, 19047

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 1988
Award / Judgment
Criminal
January 1979
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Ronald owns rental real estate through RRR LLC since 2022. He spends minimal time on this investment-related activity.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
January 2003 - July 2021 · 18 yrs 6 mos
Waddell & ReedBroker
December 1999 - July 2021 · 21 yrs 7 mos
Atlantic Pacific Financial, INC.Broker
April 1997 - December 1997 · 8 mos
First Montauk Securities CORP.Broker
March 1994 - January 1997 · 2 yrs 10 mos
Saperston Financial INC.Broker
November 1992 - January 1994 · 1 yr 2 mos
Meyers Pollock Robbins, INC.Broker
May 1992 - October 1992 · 5 mos
Vantage Securities, INC.Broker
January 1991 - March 1992 · 1 yr 2 mos
V P Securities, INC.Broker
March 1990 - December 1990 · 9 mos
First Montauk Securities CORP.Broker
March 1987 - February 1990 · 2 yrs 11 mos
J. T. Moran & CO., INC.Broker
February 1987 - March 1987 · 1 mo
Homestead Securities, INC.Broker
July 1985 - February 1987 · 1 yr 7 mos
Kobrin Securities, INC.Broker
March 1984 - June 1985 · 1 yr 3 mos
State Registrations14 states
CACODEFLMAMDMEMONHNJNYPAVAVT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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