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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

William Dennis Smith

Advisor at LPL FINANCIAL LLC

DUBOIS, PA

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Search this name across graphsid dfx:ria:c46e868b-74cf-7291-8075-273e02dff52c

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 10:12 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 14, 2003 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: Apr 21, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 21, 1989
First registration: Jan 14, 2003
Dual registered: yes, broker-dealer
Other names: BILL DENNIS SMITH|Fitty Smith
IAPD individual key: 1937892

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	May 1, 2025	n/a	yes	DUBOIS, PA	Current employment
GROVE POINT ADVISORS, LLC	Former SEC adviser	Apr 1, 2021	May 1, 2025	no	ROCKVILLE, MD\|ROCKVILLE, MD\|Dubois, PA	Previous registration
H. BECK, INC.	Former SEC adviser	Feb 16, 2007	Apr 1, 2021	no	ROCKVILLE, MD\|DUBOIS, PA\|ROCKVILLE, MD	Previous registration
EASTERN POINT ADVISORS INC.	n/a	Jan 14, 2003	Aug 23, 2004	no	DUBOIS, PA	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
GROVE POINT ADVISORS, LLC	LPL FINANCIAL LLC	May 1, 2025	May 1, 2025	0	Bulk transfer	Ibd to ibd
H. BECK, INC.	GROVE POINT ADVISORS, LLC	Apr 1, 2021	Apr 1, 2021	0	Bulk transfer	Ibd to ibd
EASTERN POINT ADVISORS INC.	H. BECK, INC.	Aug 23, 2004	Feb 16, 2007	907	Firm change after gap	Other

Relationships

Registered with (4)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 1, 2025 to presentfactForm ADV
→ GROVE POINT ADVISORS, LLCRegistered adviserregistration: previous registration
Apr 1, 2021 to May 1, 2025factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Feb 16, 2007 to Apr 1, 2021factForm ADV
→ EASTERN POINT ADVISORS INC.Registered adviserregistration: previous registration
Jan 14, 2003 to Aug 23, 2004factForm ADV

Dated events

No dated event names this entity yet.