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

Craig Lee Smith

LPL Financial LLCBD affiliatedSarasota, Fl dual registrantIAPD 5171713

Certified Financial Planner

Feed of 09/14/2026

Also filed as Craig Smith

At current firm

2 y

since Oct 6, 2023

In the industry

20 y

since Aug 21, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

LPL Financial LLC BD affiliated current
since Oct 6, 2023 · Tampa, Fl
Lpf Advisors, LLC former
May 16, 2019 to Oct 5, 2023 · Sarasota, Fl
Securities America Advisors, Inc. former
Jul 2, 2014 to Feb 3, 2020 · Sarasota, Fl
Ameriprise Financial Services, LLC national BD
Mar 15, 2011 to Jun 12, 2014 · Sarasota, Fl
Fifth Third Securities, Inc. BD affiliated
Mar 1, 2010 to Mar 14, 2011 · Sarasota, Fl
Wells Fargo Advisors wirehouse
May 30, 2008 to Oct 2, 2009 · New Port Richey, Fl

Moves

a registration end followed by a registration begin elsewhere

Lpf Advisors, LLC to LPL Financial LLC
left Oct 5, 2023, registered Oct 6, 2023 (1 days) · RIA to affiliated broker-dealer or bank
Securities America Advisors, Inc. to Lpf Advisors, LLC
left Feb 3, 2020, registered May 16, 2019 (-263 days) · Other · moved with a team
Ameriprise Financial Services, LLC to Securities America Advisors, Inc.
left Jun 12, 2014, registered Jul 2, 2014 (20 days) · Other
Fifth Third Securities, Inc. to Ameriprise Financial Services, LLC
left Mar 14, 2011, registered Mar 15, 2011 (1 days) · Other
Wells Fargo Advisors to Fifth Third Securities, Inc.
left Oct 2, 2009, registered Mar 1, 2010 (150 days) · Other

Signals

Craig Lee Smith left Lpf Advisors, Llc for Lpl Financial Llc (registered 2023-10-06)
Oct 5, 2023 · Advisor changed firm · fact

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: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address