Douglas Smith
Douglas Smith is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 35 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
325 S. Sharon Amity Rd, Charlotte, NC, 28211
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2012Criminal
June 1987Other Business Activities
Douglas is affiliated with South State Investment Services as a DBA for LPL business, dedicating full-time hours to this role. He also serves as a financial consultant at South State Bank, spending minimal time on this investment-related duty.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Global Capital Securities CorporationBroker
Kober Financial CORP.Broker
J. W. Gant & Associates, INC.Broker
J. W. Gant & Associates, INC.Broker
State Registrations21 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.