David F. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Francis Smith was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1983. David had worked at 20 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2017 - October 31, 2019
THE LEADERS GROUP, INC.
April 3, 2017 - November 15, 2017
SAYBRUS EQUITY SERVICES, LLC
September 23, 2016 - February 6, 2017
ALLSTATE FINANCIAL SERVICES, LLC
June 14, 2016 - September 23, 2016
THE LEADERS GROUP, INC.
October 14, 2013 - March 2, 2016
COREBRIDGE CAPITAL SERVICES, INC.
December 9, 2010 - September 19, 2013
PRUCO SECURITIES, LLC.
August 10, 2007 - October 26, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
May 17, 2006 - August 31, 2007
P.J. ROBB VARIABLE, LLC
September 27, 2005 - May 9, 2006
THE LEADERS GROUP, INC.
February 25, 2005 - May 12, 2005
LPL FINANCIAL LLC
February 25, 2005 - May 12, 2005
LPL FINANCIAL LLC
April 12, 2004 - January 3, 2005
WEALTHCARE FINANCIAL SERVICES OF HAWAII, LLC
October 23, 2003 - April 12, 2004
1ST GLOBAL ADVISORS INC
October 23, 2003 - November 5, 2004
1ST GLOBAL CAPITAL CORP.
March 7, 2003 - October 27, 2003
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
May 24, 2001 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
March 10, 2000 - May 16, 2001
AMERICAN GENERAL SECURITIES INCORPORATED
March 19, 1999 - January 13, 2000
CLARK-BARDES SECURITIES, INC.
July 2, 1998 - January 6, 1999
VERAVEST INVESTMENTS, INC.
May 3, 1996 - July 11, 1997
CLARK-BARDES SECURITIES, INC.
August 8, 1994 - May 26, 1995
G. R. PHELPS & CO., INC.
April 29, 1992 - January 15, 1993
PRUCO SECURITIES, LLC.
January 2, 1991 - January 24, 1991
LASALLE ST SECURITIES, L.L.C.
August 27, 1990 - December 31, 1990
HISTORIC SQUARE EQUITIES, INCORPORATED
January 22, 1988 - March 8, 1989
MONARCH FINANCIAL SERVICES, INC.
January 21, 1983 - January 30, 1986
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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