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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

DOUGLAS EDWARD SMITH

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07033e2e-f2a0-a00a-3412-9c06ea2149de

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 10, 2002 to Sep 15, 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: Jul 5, 1990earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 18derivedfrom the current registration's begin date
Prior firms: 1
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Jul 5, 1990
First registration: Apr 10, 2002
Dual registered: yes, broker-dealer
Other names: DOUG SMITH
IAPD individual key: 2060411

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	Jul 2, 2008	n/a	yes	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC\|INDIAN TRAIL, NC\|MONROE, NC\|MOORESVILLE, NC\|WEDDINGTON, NC\|MOUNT HOLLY, NC	Current employment
UVEST FINANCIAL SERVICES GROUP, INC.	n/a	Apr 10, 2002	Jun 5, 2008	no	CHARLOTTE, NC\|CHARLOTTE, NC\|CHARLOTTE, NC	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
UVEST FINANCIAL SERVICES GROUP, INC.	LPL FINANCIAL LLC	Jun 5, 2008	Jul 2, 2008	27	Firm change	Other

Relationships

Registered with (2)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jul 2, 2008 to presentfactForm ADV
→ UVEST FINANCIAL SERVICES GROUP, INC.Registered adviserregistration: previous registration
Apr 10, 2002 to Jun 5, 2008factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:07033e2e-f2a0-a00a-3412-9c06ea2149de
First observed: Apr 10, 2002
Last observed: Sep 15, 2026 4 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

DOUGLAS EDWARD SMITH

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:07033e2e-f2a0-a00a-3412-9c06ea2149de

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

LPL FINANCIAL LLC

Bd affiliated wealth

Jul 2, 2008

n/a

yes

Current employment

UVEST FINANCIAL SERVICES GROUP, INC.

n/a

Apr 10, 2002

Jun 5, 2008

CHARLOTTE, NC|CHARLOTTE, NC|CHARLOTTE, NC

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

UVEST FINANCIAL SERVICES GROUP, INC.

LPL FINANCIAL LLC

Jun 5, 2008

Jul 2, 2008

Firm change

Other