Ryan Smith has been an investment adviser representative at Northeast Planning Associates since June 2014, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Ryan Smith’s longest registration is the current one, 12 years at LPL Financial LLC since 2014. Before joining Northeast Planning Associates in 2014, Ryan Smith was registered through Metlife Securities Inc. and Aig Retirement Advisors, Inc.
- – present · 12 yearsNewburyport, MA · Adviser representative · Firm CRD 131406
- LPL Financial LLCAlso current– present · 12 yearsNewburyport, MA · Adviser representative · Firm CRD 6413
- Metlife Securities Inc.– · 4 yearsNewburyport, MA · Adviser representative · Firm CRD 14251
- Aig Retirement Advisors, Inc.– · 6 yearsWhite Plains, NY · Adviser representative · Firm CRD 42803
Investment adviser representative registrations
Ryan Smith is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from June 2014; the most recent is Texas, in March 2017.
- MassachusettsSince 3 June 2014
- TexasResidentSince 16 March 2017
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 13 December 2006 |
| Series 51 | Municipal Fund Securities Principal Examination | 11 May 2005 |
| Series 24 | General Securities Principal Examination | 22 December 2004 |
| Series 7 | General Securities Representative Examination | 15 July 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 September 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 February 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 15 January 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- Municipal Fund Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Ryan James Smith
- CRD
- 3102880
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 26 Parker Street, Unit B, Newburyport, MA 01950
- Registration
- Investment adviser and broker registrations
- In the industry since
- March 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Ryan Smith work?
Ryan Smith is an investment adviser representative registered through Northeast Planning Associates, Inc. since June 2014, and is not listed among the firm’s executive officers or direct owners.
Is Ryan Smith a financial advisor?
Yes. Ryan Smith has a current investment-adviser registration in Massachusetts and Texas, through Northeast Planning Associates since June 2014.
How many years of experience does Ryan Smith have?
Ryan Smith has 27 years in the financial industry, since March 1999, across 4 adviser firms.
What exams has Ryan Smith passed?
Ryan Smith has passed 7 licensing exams: the Series 6, Series 63, Series 65, Series 7, Series 24, Series 51 and Series 66. The earliest, the Series 6, was passed in January 1999. FINRA credited Ryan Smith with the SIE, which began in October 2018.
Where did Ryan Smith work before Northeast Planning Associates?
Before Northeast Planning Associates, Ryan Smith was registered through Metlife Securities Inc., March 2010 to May 2014; Aig Retirement Advisors, Inc., July 2001 to March 2008.
Where is Ryan Smith based?
Ryan Smith’s registered office is in Newburyport, MA.
Is Ryan Smith registered with FINRA?
Yes. Ryan Smith has a current broker registration, under CRD 3102880.
Source: FINRA BrokerCheck
How can I verify Ryan Smith’s record?
Search CRD 3102880 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Ryan Smith’s full registration record.
