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Martin Smith

LPL Financial LLC
30 Years of Experience
San Diego, CA
3 DisclosuresMay Earn CommissionSells Insurance
View SEC Summary
View SEC Summary

Martin Smith is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.

LPL Financial LLC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

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.

View Full SEC Brochure

Location

4707 Executive Dr, San Diego, CA, 92121-3091

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History

Regulatory History (3)
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.
Financial
July 2016
Final
Customer Dispute
May 2003
Settled
Customer Dispute
May 2003
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Martin is an insurance agent and owner of Wealthcare Financial Group, dedicating about 10-20% of his time to insurance sales and service since 2016. He is also the owner of HBCU Legacy, a prospective insurance agency, but it is currently inactive.

Employment History
Current Registrations
LPL Financial LLC
February 2026 - Present · 3 mos
Wealthcare Financial Group, INC.
October 2016 - Present · 9 yrs 7 mos
Previous Registrations
Kovack Advisors, INC.
January 2012 - October 2016 · 4 yrs 9 mos
Kovack Securities INC.Broker
January 2012 - October 2016 · 4 yrs 9 mos
Kingdomtrust Capital Management, INC.
February 2010 - January 2012 · 1 yr 11 mos
H. Beck, INC.Broker
September 2009 - December 2010 · 1 yr 3 mos
Kingdomtrust Capital Management, INC.
August 2009 - December 2009 · 4 mos
AXA Advisors, LLCBroker
June 2008 - June 2009 · 1 yr
AXA Advisors, LLC
June 2008 - June 2009 · 1 yr
Ameriprise Financial Services, INC.Broker
December 2007 - June 2008 · 6 mos
Ameriprise Financial Services, INC.
December 2007 - June 2008 · 6 mos
Linsco/private Ledger CORP.
March 2006 - December 2007 · 1 yr 9 mos
Linsco/private Ledger CORP.Broker
March 2006 - December 2007 · 1 yr 9 mos
Metlife Securities INC.
January 2006 - March 2006 · 2 mos
Metlife Securities INC.Broker
January 2006 - March 2006 · 2 mos
Metropolitan Life Insurance CompanyBroker
January 2006 - March 2006 · 2 mos
Raymond James Financial Services
July 2003 - January 2006 · 2 yrs 6 mos
Raymond James Financial Services, INC.Broker
July 2003 - January 2006 · 2 yrs 6 mos
Merrill Lynch Pierce Fenner & Smith INC.
March 2003 - July 2003 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 2003 - July 2003 · 4 mos
A. G. Edwards & Sons, INC.
July 2000 - March 2003 · 2 yrs 8 mos
A. G. Edwards & Sons, INC.Broker
August 1999 - March 2003 · 3 yrs 7 mos
PFS Investments INC.Broker
January 1996 - August 1999 · 3 yrs 7 mos
State Registrations9 states
CADCGALAMDMENYTXVA
Advisor

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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