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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

JASPER E SMITH

Advisor at LPL ENTERPRISE, LLC

SAN JOSE, CA | WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:62c5a91b-be17-5621-69df-6b7971d61d52

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 9, 2009 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 ENTERPRISE, 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: Jan 11, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jan 11, 2008
First registration: Apr 9, 2009
Dual registered: yes, broker-dealer
Other names: Jasper Smith|JASPER ELLETT SMITH|JASPER E SMITH
IAPD individual key: 5419179

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 ENTERPRISE, LLC	Bd affiliated wealth	Nov 14, 2024	n/a	yes	WALNUT CREEK, CA\|SAN JOSE, CA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Jun 15, 2021	Nov 14, 2024	no	Walnut Creek, CA\|SAN JOSE, CA\|OAKLAND, CA	Previous registration
PRUCO SECURITIES, LLC	No RAUM reported	Jul 8, 2015	Dec 28, 2015	no	Walnut Creek, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 12, 2011	Nov 7, 2013	no	OAKLAND, CA\|NEW YORK, NY\|OAKLAND, CA\|ALBANY, CA	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Jan 11, 2010	May 26, 2011	no	Walnut Creek, CA\|SAN FRANCISCO, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Apr 9, 2009	Aug 31, 2009	no	SAN RAMON, CA\|SAN RAMON, CA	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
PRUCO SECURITIES, LLC	LPL ENTERPRISE, LLC	Nov 14, 2024	Nov 14, 2024	0	Bulk transfer	Ibd to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PRUCO SECURITIES, LLC	Nov 7, 2013	Jul 8, 2015	608	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 26, 2011	Sep 12, 2011	109	Firm change	Other
OSAIC FA, INC.	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Aug 31, 2009	Jan 11, 2010	133	Firm change	Other

Relationships

Registered with (5)

→ LPL ENTERPRISE, LLCRegistered adviserregistration: current employment
Nov 14, 2024 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 15, 2021 to Nov 14, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 12, 2011 to Nov 7, 2013factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Jan 11, 2010 to May 26, 2011factForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Apr 9, 2009 to Aug 31, 2009factForm ADV

Dated events

No dated event names this entity yet.