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William Smith

LPL Financial LLC
37 Years of Experience
Dubois, PA
1 DisclosureBroker
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William Smith is a registered investment advisor at LPL Financial LLC, based in Dubois, PA, with 37 years of industry experience. William 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

315 N 3rd St, Dubois, PA, 15801

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History

Regulatory History (1)
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Criminal
August 1987
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William is an artist/musician since 1975, dedicating about 10-20% of his time to this activity. He also owns rental real estate and spends minimal time on it.

Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Grove Point Advisors, LLC
April 2021 - May 2025 · 4 yrs 1 mo
H. Beck, INC.
November 2010 - April 2021 · 10 yrs 5 mos
H. Beck, INC.
February 2007 - December 2008 · 1 yr 10 mos
Grove Point Investments, LLCBroker
February 2007 - May 2025 · 18 yrs 3 mos
Delta Equity Services CorporationBroker
September 2004 - December 2006 · 2 yrs 3 mos
Eastern Point Advisors INC.
January 2003 - August 2004 · 1 yr 7 mos
Investors Capital CORP.Broker
October 1995 - August 2004 · 8 yrs 10 mos
Pruco Securities CorporationBroker
April 1989 - October 1995 · 6 yrs 6 mos
The Prudential Insurance Company of AmericaBroker
April 1989 - December 1993 · 4 yrs 8 mos
State Registrations9 states
AZFLNCNYOHPASCVAWV
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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