Richard Smith, financial advisor Tulsa OK
93 score

Richard Smith

CRD Number: 2977166
Current Firm: Lpl Financial LLC

Richard Smith (CRD# 2977166) is an Investment Advisor Representative working at Lpl Financial LLC in Tulsa, OK and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Oklahoma Central Credit Union Tulsa, OK Dec 2012 - Current 4
Lpl Tulsa, OK Dec 2012 - Current 4
Edward Jones St. Louis, MO Oct 2009 - Dec 2012 3
Allied Home Mortgage Broken Arrow, OK Oct 2008 - Aug 2009 < 1
Taylor Industries Catoosa, OK Sep 2007 - Sep 2008 1
Accredited Home Lenders San Diego, CA Mar 2005 - Aug 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
S65 NASAA Investment Advisors Law Examination Mar 1998
S66 NASAA Uniform Combined State Law Examination Nov 2009
Contact Info for Richard B. Smith
Phone Number: 617-423-3644
Firm Website: http://www.lpl.com
Registered State(s):
  • OK
  • TX
By the Numbers
  • Total Assets Under Management
    112,086
    MILLIONS
  • Total Number of Accounts
    531,091
    ACCOUNTS
  • Average Account Value
    $211,049
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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