David Smith
David Smith is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 24 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
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.
Location
4707 Executive Dr, San Diego, CA, 92121-3091
Get directionsHistory
Regulatory History (2)
Judgment / Lien
October 2018Customer Dispute
February 2006Other Business ActivitiesSells Insurance
David operates Upstream Investment Partners as a DBA for his LPL business and is also an agent for non-variable insurance, spending minimal time on the latter. He also operates Foras Financial as another DBA for his LPL business, dedicating about a quarter of his time to it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Spc
Sigma Financial CorporationBroker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations4 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.