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CFP
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CFP

Mickey Smith

LPL Financial LLC
22 Years of Experience
Winston Salem, NC
Broker
View SEC Summary
View SEC Summary

Mickey Smith is a CFP-designated registered investment advisor at LPL Financial LLC, based in Winston Salem, NC, with 22 years of industry experience. Mickey 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

1255 Creekshire Way, Ste 240, Winston Salem, NC, 27103

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Mickey operates under several DBAs for his LPL business: Integrated Financial Group, Winston Wealth Management, LLC, and Winston Wealth. He spends the vast majority of his time (95%) on Winston Wealth Management, LLC, with minimal time spent on the other two DBAs.

Employment History
Current Registrations
LPL Financial LLCBroker
August 2011 - Present · 15 yrs 2 mos
LPL Financial LLC
August 2011 - Present · 15 yrs 2 mos
LPL Financial LLC
August 2011 - Present · 15 yrs 2 mos
Previous Registrations
Securities America Advisors, INC.
January 2004 - August 2011 · 7 yrs 7 mos
Securities America, INC.Broker
January 2004 - August 2011 · 7 yrs 7 mos
Jefferson Pilot Securities CorporationBroker
January 2004 - January 2004 · 0 mos
State Registrations8 states
CAFLGAKYLANCOHSC
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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