John R. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Raymond Smith, who also goes by J R Smith, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1980. John had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 29, 2024 - April 17, 2025
LPL FINANCIAL LLC
February 29, 2024 - April 17, 2025
LPL FINANCIAL LLC
September 15, 2017 - May 7, 2024
SECURITIES AMERICA ADVISORS, INC.
September 15, 2017 - May 7, 2024
SECURITIES AMERICA, INC.
November 30, 2007 - September 19, 2017
INVEST FINANCIAL CORPORATION
November 30, 2007 - September 19, 2017
INVEST FINANCIAL CORPORATION
July 3, 2007 - February 21, 2008
AFA ADVISOR SERVICES LLC
November 30, 2006 - November 30, 2007
AFA FINANCIAL GROUP, LLC
June 10, 2005 - November 30, 2006
INVESTACORP, INC.
March 9, 2001 - April 14, 2008
SECURITY FIRST ADVISORS
February 6, 2001 - June 10, 2005
SECURITIES SERVICE NETWORK, LLC
May 31, 2000 - February 5, 2001
INVESTACORP, INC.
April 25, 1997 - September 15, 1998
DEMPSEY FINANCIAL NETWORK, INC.
January 3, 1992 - April 21, 1997
SECURITIES AMERICA, INC.
April 15, 1991 - November 25, 1991
EDWARD JONES
October 2, 1990 - April 19, 1991
SECURITIES AMERICA, INC.
August 25, 1989 - October 4, 1990
FIRST AFFILIATED SECURITIES
February 24, 1986 - August 25, 1989
PFG SECURITIES, INC.
July 24, 1980 - March 7, 1986
FINANCIAL PLANNERS EQUITY CORPORATION
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
