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Katie Phipps Smith is a financial advisor professional located in Gadsden, AL. They specialize in financial advisory.
Katie Phipps Smith - Lpl Financial Llc holds an active professional license (FINRA CRD) for your protection.
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Katie Phipps Smith operates as a financial advisor through LPL Financial LLC in Gadsden, Alabama. She holds a FINRA CRD registration, which is required for professionals offering investment and financial services. Her registration number is 6934633. LPL Financial is one of the largest independent broker-dealers in the United States, providing support and infrastructure for financial advisors. Katie works within this framework to assist clients with their financial planning and investment needs.
Katie Phipps Smith's FINRA CRD registration indicates she is registered with the Financial Industry Regulatory Authority, the self-regulatory organization overseeing broker-dealers and investment professionals. This registration is required to offer investment advice, manage securities transactions, and provide financial services to clients. FINRA-registered advisors must meet specific training, examination, and continuing education requirements, and their activities are subject to FINRA oversight and compliance standards. This registration signals that Katie operates under regulatory supervision designed to protect investor interests.