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.

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 1, 2014earliest registration or exam on IAPD

Years in industry

12derivedfrom the industry start date

Years at current firm

0derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

1

Exams

S66

First exam

May 6, 2022

First registration

May 9, 2022

Dual registered

yes, broker-dealer

Other names

Scott D Smith|Scott Smith|Scott Douglas Smith

IAPD individual key

7513471

• Occurred

  Apr 5, 2026
  Advisor changed firm

  Scott Smith left J.P. Morgan Securities Llc for Lpl Financial Llc (registered 2026-04-06)

  Form ADVobserved 4 days ago
• Occurred

  Aug 1, 2023
  Advisor changed firm

  Scott Smith left Merrill Lynch, Pierce, Fenner & Smith Incorporated for J.P. Morgan Securities Llc (registered 2023-08-02)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:2a9ab60d-51db-754b-438d-8ff6d9eb12e5

First observed

May 9, 2022

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.