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RIA / WealthAdvisordual registered (broker-dealer)40 years in industry

CHERYL LUCYANN SMITH

Advisor at LPL FINANCIAL LLC

TAMPA, FL

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Search this name across graphsid dfx:ria:8fbb7481-98fe-137d-0a83-b38903b93cf5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Jun 14, 1999 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 1, 1986earliest registration or exam on IAPD
Years in industry: 40derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Aug 1, 1986
First registration: Jun 14, 1999
Dual registered: yes, broker-dealer
IAPD individual key: 1194761

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	Jun 17, 2022	n/a	yes	TAMPA, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Aug 17, 2015	Jun 13, 2022	no	TAMPA, FL\|TAMPA, FL\|Tampa, FL	Previous registration
JHS CAPITAL ADVISORS, LLC	Former SEC adviser	May 20, 2010	Aug 17, 2015	no	TAMPA, FL\|TAMPA, FL\|MIAMI, FL\|TAMPA, FL\|TAMPA, FL	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Mar 2, 2009	Jan 13, 2010	no	TAMPA, FL\|TAMPA, FL	Previous registration
OPPENHEIMER & CO. INC.	Bd affiliated wealth	Feb 15, 2007	Feb 20, 2009	no	TAMPA, FL\|TAMPA, FL	Previous registration
PRUDENTIAL EQUITY GROUP, LLC	n/a	Jun 14, 1999	Dec 19, 2002	no	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
AMERIPRISE FINANCIAL SERVICES, LLC	LPL FINANCIAL LLC	Jun 13, 2022	Jun 17, 2022	4	Firm change	Ibd to RIA
JHS CAPITAL ADVISORS, LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Aug 17, 2015	Aug 17, 2015	0	Firm change	Other
GUNNALLEN FINANCIAL, INC	JHS CAPITAL ADVISORS, LLC	Jan 13, 2010	May 20, 2010	127	Firm change	Other
OPPENHEIMER & CO. INC.	GUNNALLEN FINANCIAL, INC	Feb 20, 2009	Mar 2, 2009	10	Firm change	Other
PRUDENTIAL EQUITY GROUP, LLC	OPPENHEIMER & CO. INC.	Dec 19, 2002	Feb 15, 2007	1,519	Firm change after gap	Other

Team moves

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

Team	Left	Joined	From	Kind
112097:6363:FL:2015-08-14	Aug 17, 2015	Aug 17, 2015	TAMPA, FL	Firm change

Relationships

Registered with (6)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Jun 17, 2022 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Aug 17, 2015 to Jun 13, 2022factForm ADV
→ JHS CAPITAL ADVISORS, LLCRegistered adviserregistration: previous registration
May 20, 2010 to Aug 17, 2015factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Mar 2, 2009 to Jan 13, 2010factForm ADV
→ OPPENHEIMER & CO. INC.Registered adviserregistration: previous registration
Feb 15, 2007 to Feb 20, 2009factForm ADV
→ PRUDENTIAL EQUITY GROUP, LLCRegistered adviserregistration: previous registration
Jun 14, 1999 to Dec 19, 2002factForm ADV

Dated events

Occurred
Jun 13, 2022
Advisor changed firm
Cheryl Lucyann Smith left Ameriprise Financial Services, Llc for Lpl Financial Llc (registered 2022-06-17)
Form ADVobserved 5 days ago