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Matthew Smith

LPL Financial LLC
22 Years of Experience
Spartanburg, SC
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Matthew Smith is a registered investment advisor at LPL Financial LLC, based in Spartanburg, SC, with 22 years of industry experience. Matthew 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
28221 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

350 East St John Street, Spartanburg, SC, 29302

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History

Regulatory History (2)
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.
Regulatory
June 2017
Final
Employment Separation After Allegations
May 2016
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Matthew is involved with Walker, Higgins and Associates Wealth Management, LLC as an insurance agency and DBA for LPL business, spending minimal time on these investment-related activities. He also dedicates full-time hours to MCS Wealth Management, LLC, a business entity for tax/investment purposes.

Employment History
Current Registrations
LPL Financial LLC
December 2024 - Present · 1 yr 10 mos
LPL Financial LLCBroker
December 2024 - Present · 1 yr 10 mos
LPL Financial LLC
October 2024 - Present · 2 yrs
Previous Registrations
First Heartland Consultants, INC.
May 2016 - October 2024 · 8 yrs 5 mos
First Heartland Capital, INC.Broker
May 2016 - June 2020 · 4 yrs 1 mo
Investment Advisors
April 2012 - June 2016 · 4 yrs 2 mos
Proequities, INC.Broker
April 2012 - June 2016 · 4 yrs 2 mos
First Heartland Consultants, INC.
August 2011 - April 2012 · 8 mos
First Heartland Capital, INC.Broker
March 2009 - April 2012 · 3 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
May 2006 - March 2009 · 2 yrs 10 mos
Ameriprise Financial Services, INC.
July 2004 - April 2006 · 1 yr 9 mos
Ameriprise Financial Services, INC.Broker
July 2004 - April 2006 · 1 yr 9 mos
Ids Life Insurance CompanyBroker
July 2004 - April 2006 · 1 yr 9 mos
State Registrations3 states
NCSCTX
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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