Douglas Smith
Douglas Smith is a CFP-designated registered investment advisor at LPL Financial LLC, based in Portland, ME, with 34 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
619 Forest Ave, Portland, ME, 04101
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2024Criminal
June 1976Criminal
October 1975Other Business Activities
Douglas works as a consultant, launch operator, and landlord. These activities involve consulting work, operating a passenger launch part-time on weekends, and maintaining rental property, respectively.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Edward Jones
Edward JonesBroker
LPL Financial LLC
LPL Financial LLCBroker
Citigroup Global Markets INC.Broker
Painewebber IncorporatedBroker
Chatfield Dean & CO., INC.Broker
State Registrations7 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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