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Detailed Report
MARK DOUGLAS SMITH
MARK SMITH
CRD#: 5980364
IA
Investment Adviser
B
Broker
LPL ENTERPRISE, LLCCRD#: 8733 113 HAZEL PATH
SUITE 4
HENDERSONVILLE, TN 37075
Registration History
201220142016201820202022202420262 FIRMS2013 - 2024 (11 years)2 FIRMS2024 - Present (<1 year)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2013 (1 year)IAMETLIFE SECURITIES INC. (CRD# 14251)2012 - 2013 (<1 year)
License(s)

State Registrations

B
Alabama 11/14/2024
B
Ohio 1/2/2025
IA
Alabama 11/14/2024
B
Tennessee 11/14/2024
B
Kentucky 11/14/2024
IA
Tennessee 11/14/2024
B
Louisiana 11/14/2024
B
Texas 11/14/2024
B
Mississippi 11/14/2024
IA
Texas 11/14/2024
B
New Jersey 11/14/2024
B
Virginia 1/29/2025

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
LPL ENTERPRISE, LLC (CRD#:8733)
113 HAZEL PATH SUITE 4, HENDERSONVILLE, TN 37075
Registered with this firm since 11/14/2024
B
LPL ENTERPRISE, LLC (CRD#:8733)
113 HAZEL PATH SUITE 4, HENDERSONVILLE, TN 37075
Registered with this firm since 11/14/2024
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 06/13/2013 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) Hendersonville, TN
B
 05/28/2013 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) Hendersonville, TN
IA
 10/11/2012 - 05/28/2013 METLIFE SECURITIES INC. (CRD#:14251) FRANKLIN, TN
B
 10/06/2011 - 05/28/2013 METLIFE SECURITIES INC. (CRD#:14251) FRANKLIN, TN
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.