Jasper E. Smith

LPL ENTERPRISE

WALNUT CREEK, CA 94597

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CRD#: 5419179

Professional summary

Jasper E Smith, who also goes by Jasper Ellett Smith, Jasper Smith, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Walnut Creek, California.

Jasper is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Jasper has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jasper Ellett Smith | Jasper 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.

1) 09/23/2024- Urban Financial Services Coalition - SF Bay Area Chapter- Non-Profit Board Member- Community outreach and membership engagement- Not INV Related- At Walnut Creek, PA- Start date 01/02/2012- 5 HRS MTH- 0 HRS Trading 2) 02/12/2025 - The #BuildWealth Movement- Author- Author - The #BUILDWEALTH CHALLENGE- inv. related- at Oakland, CA- start date 01/01/2016- 5hrs/mnth-0hrs during trading 3) 02/14/2025- The #BuildWealth Movement- Speaker/ Seminar/ Workshops- I am paid to speak professionally by for profit and non-profit organizations- not inv. related- at Oakland, CA - start date 10/01/2015- 5hrs/mnth-5hrs during trading

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jasper E Smith's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Jasper E Smith's CRS (Customer Relationship Summary).

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

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1255 Treat Blvd. Suite 300, Walnut Creek, CA 94597

RIA

CRD#: 8733

WALNUT CREEK, CA

Current

November 14, 2024 - Present

LPL ENTERPRISE, LLC

Office #1: 1255 Treat Blvd. Suite 300, Walnut Creek, CA 94597

RIA

CRD#: 8733

WALNUT CREEK, CA

Past

June 15, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Walnut Creek, CA

Past

June 15, 2021 - November 14, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

Walnut Creek, CA

Past

January 13, 2016 - August 27, 2019

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

July 8, 2015 - December 28, 2015

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SAN FRANCISCO, CA

Past

September 26, 2014 - December 28, 2015

PRUCO SECURITIES, LLC.

CRD#: 5685

SAN FRANCISCO, CA

Past

September 12, 2011 - November 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

OAKLAND, CA

Past

September 12, 2011 - November 7, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

OAKLAND, CA

Past

January 11, 2010 - May 26, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

SAN FRANCISCO, CA

Past

October 30, 2009 - May 26, 2011

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

SAN FRANCISCO, CA

Past

April 9, 2009 - August 31, 2009

OSAIC FA, INC.

RIA

CRD#: 3978

SAN RAMON, CA

Past

October 23, 2008 - August 31, 2009

OSAIC FA, INC.

CRD#: 3978

SAN RAMON, CA

Past

September 25, 2007 - August 26, 2008

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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).

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

Arizona
(7/16/2025)

California
(11/14/2024)

IAR

California
(11/14/2024)

Colorado
(7/17/2025)

District of Columbia
(11/14/2024)

Florida
(11/15/2024)

Georgia
(11/14/2024)

Idaho
(11/14/2024)

Illinois
(11/14/2024)

Maryland
(11/14/2024)

Michigan
(11/14/2024)

Nevada
(11/14/2024)

New Jersey
(11/14/2024)

New York
(11/14/2024)

North Carolina
(11/14/2024)

Pennsylvania
(11/14/2024)

Texas
(11/14/2024)

IAR

Texas
(11/14/2024)

Virginia
(11/14/2024)

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: 7/6/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/11/2008

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: 1/13/2009

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/24/2007

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LPL ENTERPRISE, LLC

CRD#: 8733 / SEC#: 801-130883, 8-26037

RIA

Registered Investment Advisory firm - SEC (8/7/2024 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2020 Terminated)

Ohio

Registered Investment Advisory firm - SEC (4/1/2023 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (4/7/2023 Terminated)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

Delaware since 05/25/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

4,650

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

A58 LPLE (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
HORAN-ADAMS, KIRBY LEPAK	CHIEF EXECUTIVE OFFICER. PRESIDENT	5097259
MALFITANO, STEVEN THOMAS	PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP	3178848
MORRISON, STEVEN PHILIP	SECRETARY	4529345
SHEEHAN, RICHARD STEVEN	SVP, CHIEF COMPLIANCE OFFICER	3096567

Regulatory assets under management

Total Number of Accounts	114,002
AUM (Assets Under Management)	$ 18,862,098,900

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Jasper E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jasper E Smith's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Jasper E Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL ENTERPRISE, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

LPL ENTERPRISE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2020

Series 63

Date: 1/11/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/13/2009

Series 6

Date: 9/24/2007

FINRA

Current Firm

LPL ENTERPRISE, LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL ENTERPRISE, LLC

TRUST BUT VERIFY

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