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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)20 years in industry

CRAIG LEE SMITH

Advisor at LPL FINANCIAL LLC

SARASOTA, FL | TAMPA, FL

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Search this name across graphsid dfx:ria:0b44d873-1b37-a16f-be44-a4169905a8d6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 30, 2008 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: Aug 21, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Aug 21, 2006
First registration: May 30, 2008
Dual registered: yes, broker-dealer
Other names: CRAIG SMITH
IAPD individual key: 5171713

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	Oct 6, 2023	n/a	yes	TAMPA, FL\|SARASOTA, FL	Current employment
LPF ADVISORS, LLC	Former SEC adviser	May 16, 2019	Oct 5, 2023	no	SARASOTA, FL	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Jul 2, 2014	Feb 3, 2020	no	SARASOTA, FL	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Mar 15, 2011	Jun 12, 2014	no	Sarasota, FL	Previous registration
FIFTH THIRD SECURITIES, INC.	Bd affiliated wealth	Mar 1, 2010	Mar 14, 2011	no	SARASOTA, FL\|SARASOTA, FL\|SARASOTA, FL\|SARASOTA, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 30, 2008	Oct 2, 2009	no	NEW PORT RICHEY, FL\|ZEPHYRHILLS, FL\|WESLEY CHAPEL, FL\|WESLEY CHAPEL, FL\|WESLEY CHAPEL, FL\|ORLANDO, FL\|TAMPA, FL	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
LPF ADVISORS, LLC	LPL FINANCIAL LLC	Oct 5, 2023	Oct 6, 2023	1	Firm change	RIA to ibd
SECURITIES AMERICA ADVISORS, INC.	LPF ADVISORS, LLC	Feb 3, 2020	May 16, 2019	-263	Firm change after gap	Other
AMERIPRISE FINANCIAL SERVICES, LLC	SECURITIES AMERICA ADVISORS, INC.	Jun 12, 2014	Jul 2, 2014	20	Firm change	Other
FIFTH THIRD SECURITIES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 14, 2011	Mar 15, 2011	1	Firm change	Other
WELLS FARGO ADVISORS	FIFTH THIRD SECURITIES, INC.	Oct 2, 2009	Mar 1, 2010	150	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
110518:298068:FL:2020-02-03	Feb 3, 2020	May 16, 2019	SARASOTA, FL	Firm change after gap

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Oct 6, 2023 to presentfactForm ADV
→ LPF ADVISORS, LLCRegistered adviserregistration: previous registration
May 16, 2019 to Oct 5, 2023factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Jul 2, 2014 to Feb 3, 2020factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Mar 15, 2011 to Jun 12, 2014factForm ADV
→ FIFTH THIRD SECURITIES, INC.Registered adviserregistration: previous registration
Mar 1, 2010 to Mar 14, 2011factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 30, 2008 to Oct 2, 2009factForm ADV

Dated events

Occurred
Oct 5, 2023
Advisor changed firm
Craig Lee Smith left Lpf Advisors, Llc for Lpl Financial Llc (registered 2023-10-06)
Form ADVobserved 6 days ago