Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ava? Claim Your ProfileAva Diane Smith is a financial professional with over 38 years of experience in the industry. Ava is currently registered with LPL Financial LLC in Southlake, TX, where she provides financial planning and investment advisory services to individuals, families, businesses, and institutions. Ava has held previous positions with CETERA ADVISOR NETWORKS LLC, VOYA FINANCIAL ADVISORS, INC., NEW ENGLAND SECURITIES, and SUPERIOR FINANCIAL GROUP, INC. Ava holds Series 6, 7, 22, 24, and 63 securities licenses and is a Chartered Financial Consultant. Ava is dedicated to providing personalized financial advice and helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
TX
08/26/2021 - Present
LPL Financial LLC (SOUTHLAKE TX)
TX
06/09/2021 - 09/01/2021
CETERA ADVISOR NETWORKS LLC (SOUTHLAKE TX)
TX
09/22/2004 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (SOUTHLAKE TX)
NY
07/03/1997 - 09/21/2004
NEW ENGLAND SECURITIES (NEW YORK NY)
TX
05/09/1995 - 07/03/1997
SUPERIOR FINANCIAL GROUP, INC. (LB29 DALLAS TX)
NA
03/14/1986 - 05/08/1995
FIDELITY EQUITY SERVICES CORPORATION
NA
09/17/1984 - 01/19/1987
CHUBB SECURITIES CORPORATION
NA
06/03/1983 - 10/08/1984
TRAVELERS EQUITIES SALES, INC.
BC
Issued 09/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/28/2003
Series 7 - General Securities Representative Examination
BC
Issued 04/11/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 06/02/1983
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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