Adviser and broker representative · LPL Financial LLC
Eric S. Smith
CRD 2909500 · Ventura, CA
At a glance
Eric S. Smith is an investment adviser representative with LPL Financial LLC in Ventura, CA, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Eric’s SEC record dates to 1999, about 27 years ago. Eric is also registered as a broker representative. Designations on file: Certified Financial Planner.
Current advisory firms
- LPL Financial LLCSince May 2011Ventura, CA · $819B in regulatory assets
- Cornerstone Wealth Management, LLCSince February 2018Des Peres, MO · $4.9B in regulatory assets
SEC adviser record
- Registered since
- 1999 (27 years)
- Designations
- Certified Financial Planner
- Exams
- Series 66
- Registered in
- 3 states
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Eric’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 1 firmLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.
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