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RIA / WealthAdvisordual registered (broker-dealer)24 years in industry

David Allen Smith

Advisor at LPL FINANCIAL LLC

FORT MILL, SC | FLOWERY BRANCH, GA

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Search this name across graphsid dfx:ria:bfa951d0-195d-0e43-22fb-7f67ed6eb1f8

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Aug 23, 2002 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: Mar 8, 2002earliest registration or exam on IAPD
Years in industry: 24derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 9
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Mar 8, 2002
First registration: Aug 23, 2002
Dual registered: yes, broker-dealer
Other names: David Allen Smith|DAVID ALLEN SMITH|DAVID ALLEN SMITH JR|DAVID ALLEN SMITH|DAVID ALLEN SMITH JR.|ALLEN SMITH|D. ALLEN SMITH|DAVID ALLEN SMITH
IAPD individual key: 4473042

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	Feb 2, 2026	n/a	yes	FLOWERY BRANCH, GA\|FORT MILL, SC	Current employment
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Bd affiliated wealth	Jan 26, 2024	May 14, 2024	no	PLYMOUTH, MN\|FLOWERY BRANCH, GA	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Jul 6, 2021	Dec 15, 2023	no	ATLANTA, GA\|ATLANTA, GA\|ATLNTA, GA	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Sep 19, 2016	Dec 20, 2019	no	CUMMING, GA\|Atlanta, GA	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Apr 2, 2014	Dec 31, 2016	no	ATLANTA, GA\|ATLANTA, GA\|CUMMING, GA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 2, 2012	Mar 20, 2014	no	ATLANTA, GA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Aug 1, 2012	no	Atlanta, GA\|ATLANTA, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Jun 1, 2009	no	ATLANTA, GA\|NAPLES, FL	Previous registration
MORGAN STANLEY DW INC.	n/a	May 9, 2005	Apr 2, 2007	no	NAPLES, FL\|ALPHARETTA, GA\|ALPHARETTA, GA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 23, 2002	May 10, 2005	no	DULUTH, GA	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
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	LPL FINANCIAL LLC	May 14, 2024	Feb 2, 2026	629	Firm change after gap	RIA to ibd
TRUIST ADVISORY SERVICES, INC.	WEALTH ENHANCEMENT ADVISORY SERVICES, LLC	Dec 15, 2023	Jan 26, 2024	42	Firm change	Ibd to RIA
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Sep 19, 2016	-103	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	SUNTRUST INVESTMENT SERVICES, INC.	Mar 20, 2014	Apr 2, 2014	13	Firm change	Other
MORGAN STANLEY	UBS FINANCIAL SERVICES INC.	Aug 1, 2012	Aug 2, 2012	1	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY DW INC.	May 10, 2005	May 9, 2005	-1	Firm change	Other

Relationships

Registered with (9)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Feb 2, 2026 to presentfactForm ADV
→ WEALTH ENHANCEMENT ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Jan 26, 2024 to May 14, 2024factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Jul 6, 2021 to Dec 15, 2023factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 2, 2014 to Dec 31, 2016factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 2, 2012 to Mar 20, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Aug 1, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
May 9, 2005 to Apr 2, 2007factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 23, 2002 to May 10, 2005factForm ADV

Dated events

Occurred
May 14, 2024
Advisor changed firm
David Allen Smith left Wealth Enhancement Advisory Services, Llc for Lpl Financial Llc (registered 2026-02-02)
Form ADVobserved 6 days ago
Occurred
Dec 15, 2023
Advisor changed firm
David Allen Smith left Truist Advisory Services, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2024-01-26)
Form ADVobserved 6 days ago