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RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

PAMELA PUTNAM SMITH

Advisor at LPL FINANCIAL LLC

BRANFORD, CT

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Search this name across graphsid dfx:ria:011a87fa-87f5-65d2-83c6-08db2c28562b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: May 16, 1997 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Apr 4, 1997
First registration: May 16, 1997
Dual registered: yes, broker-dealer
IAPD individual key: 2068970

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Dec 19, 2018	n/a	yes	BRANFORD, CT	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	Dec 24, 2018	no	GUILFORD, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 11, 2013	Mar 25, 2017	no	GUILFORD, CT	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 9, 2009	Oct 21, 2013	no	Westport, CT\|GREENWICH, CT	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 16, 1997	Apr 23, 2009	no	STAMFORD, CT\|GREENWICH, CT\|GREENWICH, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	LPL FINANCIAL LLC	Dec 24, 2018	Dec 19, 2018	-5	Firm change	Ibd to RIA
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
AMERIPRISE FINANCIAL SERVICES, LLC	MSI FINANCIAL SERVICES, INC.	Oct 21, 2013	Oct 11, 2013	-10	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 23, 2009	Apr 9, 2009	-14	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Dec 19, 2018 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Mar 25, 2017 to Dec 24, 2018factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 11, 2013 to Mar 25, 2017factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 9, 2009 to Oct 21, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 16, 1997 to Apr 23, 2009factForm ADV

Dated events

No dated event names this entity yet.