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Lawrence Smoller

Cambridge Investment Research Advisors, INC.
41 Years of Experience
Los Angeles, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Lawrence Smoller is a registered investment advisor at Cambridge Investment Research Advisors, INC., based in Los Angeles, CA, with 41 years of industry experience. Lawrence is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Divorce Planning, Education Planning, Estate Planning, Financial Planning & Coaching, and 6 more. Their firm serves 361,213 clients with $140B in assets under management.

Cambridge Investment Research Advisors, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3940 advisors
Number of Clients
361,213 clients
Average Client Portfolio
$384K average
Assets Under Management
$138.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum allowable advisory fee is 2.25% annually across platforms. Actual fees are negotiable and set by your financial professional based on account size, complexity, and specific program selected.

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

Location

10483 Ashton Ave, Los Angeles, CA, 90024

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History

Regulatory History (1)
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
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Lawrence is an independent insurance agent for various independent insurance companies since 1985, but dedicates no time to this activity. He also works full-time as an advisory representative of a Registered Investment Advisor (RIA) since 2012.

Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
November 2012 - Present · 13 yrs 11 mos
Cambridge Investment Research Advisors, INC.
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
LPL Financial LLCBroker
February 2004 - November 2012 · 8 yrs 9 mos
LPL Financial LLC
February 2004 - November 2012 · 8 yrs 9 mos
UBS Financial Services INC.
July 1997 - February 2004 · 6 yrs 7 mos
UBS Financial Services INC.Broker
April 1997 - February 2004 · 6 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 1985 - May 1997 · 12 yrs
State Registrations6 states
AZCACODCNVNY
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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