DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Gregory Edward Smyth
Feed of 09/15/2026
Also filed as Greg Edward Smyth
At current firm
1 y
since Jan 1, 2025
In the industry
30 y
since Sep 29, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- LPL Financial LLC BD affiliated currentsince Jan 1, 2025 · Madison, Wi
- Cuna Brokerage Services, Inc. formerMar 22, 2014 to May 18, 2022 · Madison, Wi
- Cetera Investment Services LLC formerNov 2, 2009 to Oct 11, 2012 · Monticello, Wi
- Amcore Investment Services, Inc unclassifiedMar 2, 2009 to Nov 6, 2009 · Darlington, Wi
- LPL Financial LLC BD affiliatedMay 4, 2006 to May 4, 2006 · Milton, Wi
Moves
a registration end followed by a registration begin elsewhere
- Cuna Brokerage Services, Inc. to LPL Financial LLCleft May 18, 2022, registered Jan 1, 2025 (959 days) · corporate re-registration, not a move
- Cetera Investment Services LLC to Cuna Brokerage Services, Inc.left Oct 11, 2012, registered Mar 22, 2014 (527 days) · Other
- Amcore Investment Services, Inc to Cetera Investment Services LLCleft Nov 6, 2009, registered Nov 2, 2009 (-4 days) · Other
- LPL Financial LLC to Amcore Investment Services, Incleft May 4, 2006, registered Mar 2, 2009 (1033 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address