Samuel Smith is a registered investment advisor at LPL Financial LLC, based in Chandler, AZ, with 9 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
2975 W Ray Rd, Chandler, AZ, 85224
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Regulatory History (1)
Employment Separation After Allegations
June 2021Other Business Activities
Samuel uses Flagstar Wealth Services as a DBA for his LPL business at reported business locations. This activity is investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLCBroker
LPL Financial LLC
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC. (bwis)
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.