Leonard C. Smith

LEGACY INVESTMENT STRATEGIES

Arcadia, CA 91006

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CRD#: 1606857

Professional summary

Leonard Charles Smith, who also goes by Len Smith, is a registered financial advisor currently at LEGACY INVESTMENT STRATEGIES, LLC located in Arcadia, California and LPL FINANCIAL LLC located in Arcadia, California.

Leonard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Leonard has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Aliases

Len Smith

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Charles Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 28, 2024 - Present

LEGACY INVESTMENT STRATEGIES, LLC

Office #1: 440 E Huntington Blvd, Arcadia, CA 91006

RIA

CRD#: 117423

Arcadia, CA

Current

May 1, 2024 - Present

LPL FINANCIAL LLC

Office #1: 440 E Huntington Dr Ste 334, Arcadia, CA 91006

RIA

CRD#: 6413

ARCADIA, CA

Past

May 1, 2024 - July 14, 2026

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

March 16, 2015 - May 1, 2024

CROWN CAPITAL SECURITIES, L.P.

RIA

CRD#: 6312

ARCADIA, CA

Past

August 24, 1999 - May 1, 2024

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ARCADIA, CA

Past

March 31, 1999 - August 20, 1999

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

December 26, 1986 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(5/1/2024)

IAR

California
(5/28/2024)

Idaho
(9/16/2024)

Indiana
(7/17/2024)

Michigan
(9/10/2024)

Nevada
(12/4/2024)

Oregon
(5/1/2024)

South Dakota
(12/4/2024)

Tennessee
(9/12/2024)

Washington
(5/1/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/8/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/20/1986

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

LEGACY INVESTMENT STRATEGIES, LLC

CRD#: 117423 / SEC#:

California

Registered Investment Advisory firm - (5/28/2024 Approved)

Louisiana

Registered Investment Advisory firm - (2/1/2002 Approved)

Maryland

Registered Investment Advisory firm - (4/3/2024 Approved)

Michigan

Registered Investment Advisory firm - (5/1/2025 Terminated)

Texas

Registered Investment Advisory firm - (5/18/2016 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

3445 N Causeway Blvd Suite 905, Metairie, LA 70002

Mailing Address

Phone number

(504) 361-7788

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	359
AUM (Assets Under Management)	$ 103,939,545

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Leonard C. Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Leonard Charles Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CROWN CAPITAL SECURITIES, L.P.

CROWN CAPITAL SECURITIES, L.P.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2000

Series 63

Date: 8/8/1997

SIE

Date: 10/1/2018

Series 7

Date: 12/20/1986

FINRA

Current Firm

LEGACY INVESTMENT STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LEGACY INVESTMENT STRATEGIES, LLC

TRUST BUT VERIFY

Contact information

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