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Kenneth Smith

LPL Financial LLC
34 Years of Experience
Hagerstown, MD
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Kenneth Smith is a registered investment advisor at LPL Financial LLC, based in Hagerstown, MD, with 34 years of industry experience. Kenneth 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
28129 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

1825 Howell Rd Ste 5, Hagerstown, MD, 21740-6612

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History

Regulatory History (2)
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
February 2016
Denied
Customer Dispute
February 2004
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Kenneth operates Sterling Financial Management as a DBA for his LPL business, dedicating nearly full-time hours. He also operates Woodsboro Financial Services and BCT Investments as DBAs for his LPL business, spending about 10-20% of his time on each.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2015 - Present · 11 yrs 5 mos
LPL Financial LLC
May 2015 - Present · 11 yrs 5 mos
Previous Registrations
Santander Securities
January 2014 - May 2015 · 1 yr 4 mos
Santander Securities LLCBroker
September 2012 - May 2015 · 2 yrs 8 mos
LPL Financial LLCBroker
May 2008 - September 2012 · 4 yrs 4 mos
Ifmg Securities, INC.Broker
April 2008 - May 2008 · 1 mo
Aig Financial Advisors, INC.Broker
October 2005 - April 2007 · 1 yr 6 mos
Sentra Securities CorporationBroker
September 2003 - October 2005 · 2 yrs 1 mo
Raymond James Financial Services
May 1999 - August 2003 · 4 yrs 3 mos
Raymond James Financial Services, INC.Broker
January 1999 - August 2003 · 4 yrs 7 mos
Robert Thomas Securities, INCBroker
August 1995 - January 1999 · 3 yrs 5 mos
Baraban Securities, INC.Broker
October 1994 - September 1995 · 11 mos
Tamaron Investments, INC.Broker
June 1992 - October 1994 · 2 yrs 4 mos
J. W. Gant & Associates, INC.Broker
May 1991 - June 1992 · 1 yr 1 mo
State Registrations15 states
CADCFLIDMDMINJNVPASCTXUTVAWAWV
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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