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

Jun 11, 2001earliest registration or exam on IAPD

Years in industry

25derivedfrom the industry start date

Years at current firm

2derivedfrom the current registration's begin date

Prior firms

3

Current registrations

1

Registered states

1

Exams

S66|S63

First exam

Jun 11, 2001

First registration

Jan 28, 2008

Dual registered

yes, broker-dealer

Other names

james michael smith|J SMITH|James M Smith

IAPD individual key

4024740

• Occurred

  Jan 5, 2024
  Advisor changed firm

  James Michael Smith left Edward Jones for Lpl Financial Llc (registered 2024-02-12)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:90e30ff1-aad3-9c70-069d-20c479a3c2d2

First observed

Jan 28, 2008

Last observed

Sep 14, 2026 7 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.