David P. 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 P Smith, who also goes by David Parker 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 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
April 13, 2017 - January 4, 2018
CUNA BROKERAGE SERVICES, INC.
April 13, 2017 - January 4, 2018
CUNA BROKERAGE SERVICES, INC.
January 3, 2012 - April 5, 2017
OSAIC INSTITUTIONS, INC.
January 3, 2012 - April 5, 2017
OSAIC INSTITUTIONS, INC.
November 2, 2009 - December 7, 2011
PEOPLE'S SECURITIES, INC.
October 12, 2009 - December 7, 2011
PEOPLE'S SECURITIES, INC.
January 1, 2005 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
April 27, 2002 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
November 15, 2001 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
June 17, 1996 - November 20, 2001
CITIZENS SECURITIES, INC.
November 3, 1995 - June 12, 1996
CAPITAL BROKERAGE CORPORATION
June 23, 1993 - April 28, 1995
FISCO EQUITY, INC.
April 4, 1989 - May 11, 1992
LEHMAN BROTHERS INC.
April 16, 1984 - April 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
May 25, 1983 - April 13, 1984
MOSELEY SECURITIES CORPORATION
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
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
