Duane Smith
Duane Smith is a registered investment advisor at Private Advisor Group, LLC, based in Lake Ann, MI, with 32 years of industry experience. Duane is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Estate Planning, Insurance Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 142,225 clients with $44B 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 | 2.00% |
Maximum annual fee is 2.00%, negotiable based on assets, account composition, and complexity.
Fee Estimator
Location
Lake Ann, MI
Get directionsHistory
Regulatory History (2)
Employment Separation After Allegations
January 2012Customer Dispute
May 2002Other Business Activities
Duane operates DJ Smith Financial Services as a DBA for his LPL business and Private Advisor Group. He dedicates all of his time to these investment-related activities, offering financial planning services on an hourly or flat fee basis.
Employment History
Current Registrations
Private Advisor Group, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLC
Edward Jones
Edward JonesBroker
State Registrations8 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.