Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Edward Smith is a financial advisor with LPL Financial LLC. Douglas has been in the financial industry since November 4, 1990. Douglas is registered with the following states: Alabama, Arizona, California, District of Columbia, Florida, Georgia, Iowa, Maryland, Michigan, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Puerto Rico, South Carolina, Texas, Virginia, and Wyoming. Douglas has a Series 7 and Series 66 license and a SIE license. Douglas is a financial consultant with experience in investment advisory services.
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.
1
2
NC
03/25/2019 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
04/10/2002 - 06/05/2008
UVEST FINANCIAL SERVICES GROUP, INC. (CHARLOTTE NC)
CO
01/25/1993 - 03/26/2002
GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)
CO
07/07/1992 - 01/25/1993
KOBER FINANCIAL CORP. (ENGLEWOOD CO)
NA
01/14/1991 - 07/09/1992
J. W. GANT & ASSOCIATES, INC.
NA
06/21/1990 - 09/12/1990
J. W. GANT & ASSOCIATES, INC.
BOTH
Issued 11/27/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/16/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Douglas Smith is the right advisor for you? Invested Better is here to help.
