William Smith is a registered investment advisor at LPL Financial LLC, based in Dubois, PA, with 36 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
315 N 3rd St, Dubois, PA, 15801
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Regulatory History (1)
Criminal
August 1987Other 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
LPL Financial LLCBroker
Previous Registrations
Grove Point Advisors, LLC
H. Beck, INC.
H. Beck, INC.
Grove Point Investments, LLCBroker
Delta Equity Services CorporationBroker
Eastern Point Advisors INC.
Investors Capital CORP.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations9 states
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.