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Detailed Report
BRIAN LANE SMITH
CRD#: 2924147
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 930 West U.S. Hwy 30
Schererville, IN 46375
LPL FINANCIAL LLCCRD#: 6413 930 WEST US HWY 30
SCHERERVILLE, IN 46375
Registration History
199820002002200420062008201020122014201620182020202220242026IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2018 - Present (6 years)BLPL FINANCIAL LLC (CRD# 6413)2011 - Present (13 years)BPROEQUITIES, INC. (CRD# 15708)1997 - 2011 (14 years)IAINDEPENDENT FINANCIAL PARTNERS (CRD# 125112)2011 - 2018 (7 years)IALPL FINANCIAL LLC (CRD# 6413)2016 - 2016 (<1 year)IAINVESTMENT ADVISORS (CRD# 15708)1998 - 2011 (13 years)
Disclosure(s)
View By:
4/16/2018
Customer Dispute
Denied
6/11/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/18/2019
B
Massachusetts 12/8/2020
B
California 1/30/2012
B
Michigan 4/13/2012
B
Colorado 3/29/2012
B
Montana 3/15/2021
B
Florida 10/9/2013
B
North Carolina 7/6/2022
B
Hawaii 12/1/2011
B
Ohio 11/10/2015
B
Illinois 12/1/2011
B
Oklahoma 12/6/2021
B
Indiana 12/7/2011
B
Pennsylvania 11/15/2019
IA
Indiana 11/15/2018
B
Texas 9/2/2016
B
Iowa 4/27/2012
B
Washington 5/13/2020
B
Kentucky 1/15/2016
B
Wisconsin 9/23/2013

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
930 West U.S. Hwy 30, Schererville, IN 46375
Registered with this firm since 11/15/2018
B
LPL FINANCIAL LLC (CRD#:6413)
930 WEST US HWY 30, SCHERERVILLE, IN 46375
Registered with this firm since 12/1/2011
Previous Registration(s)
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IA
 12/08/2011 - 12/26/2018 INDEPENDENT FINANCIAL PARTNERS (CRD#:125112) SCHERERVILLE, IN
IA
 09/08/2016 - 10/10/2016 LPL FINANCIAL LLC (CRD#:6413) SCHERERVILLE, IN
IA
 06/17/1998 - 12/02/2011 INVESTMENT ADVISORS (CRD#:15708) SCHERERVILLE, IN
B
 08/20/1997 - 12/02/2011 PROEQUITIES, INC. (CRD#:15708) SCHERERVILLE, IN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.