Douglas Smith
Douglas Smith is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 35 years of industry experience. Douglas 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
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 Registrations22 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.
Exams
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