David F. Smith

TELSEY ADVISORY GROUP LLC

New York, NY 10017

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CRD#: 1141964

Professional summary

David Franklin Smith is a registered financial professional currently at TELSEY ADVISORY GROUP LLC located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 6 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Franklin Smith's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

December 2, 2015 - Present

TELSEY ADVISORY GROUP LLC

Office #1: 555 Fifth Ave. 7th Floor, New York, NY, 10017

CRD#: 148234

New York, NY

Past

April 3, 2013 - March 3, 2015

NORTHLAND SECURITIES, INC.

CRD#: 40258

MINNEAPOLIS, MN

Past

July 5, 2011 - April 30, 2013

BURCH & COMPANY, INC

CRD#: 102280

SARASOTA, FL

Past

February 13, 2007 - April 19, 2010

EUREKA CAPITAL MARKETS, LLC

CRD#: 116873

NEW YORK, NY

Past

September 20, 2000 - April 7, 2006

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

September 24, 1992 - January 7, 1997

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(12/2/2015)

Exams

State Security Law Exam

Series 63

Date: 10/11/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 8/18/2011

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 9/19/2000

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

TELSEY ADVISORY GROUP LLC

TELSEY ADVISORY GROUP LLC | TELSEY CAPITAL GROUP LLC

CRD#: 148234 / SEC#: , 8-67988

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

555 Fifth Ave. 7th Floor, New York, NY, 10017

Mailing Address

555 Fifth Ave. 7th Floor, New York, NY, 10017

Phone number

(212) 973-9700

Established

Delaware since 05/28/2008

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TELSEY HOLDINGS LLC	OWNER
ARZU, JERRY STANLEY	CFO/FINOP	3024670
CHIN, TOM KAI	MANAGING DIRECTOR	2420035
EKSTEIN, LEIGH EVAN	VICE CHAIRMAN	5111262
FELDMAN, JOSEPH ISAAC	MANAGING DIRECTOR	4260057
NAPOLITANO, AMY ANN	CCO	4024302
TELSEY, DANA LAUREN	CEO	1289497

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.

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Advisor Monitoring

Firm Stability Insights

David F. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Franklin Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHLAND SECURITIES, INC.

BURCH & COMPANY, INC

EUREKA CAPITAL MARKETS, LLC

RAYMOND JAMES & ASSOCIATES, INC.

ALEX. BROWN & SONS INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 10/11/2007

SIE

Date: 10/1/2018

Series 79

Date: 8/18/2011

Series 7

Date: 9/19/2000

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

FINRA

Investors' Exchange LLC

NYSE Arca, Inc.

Nasdaq Stock Market

Current Firm

TELSEY ADVISORY GROUP LLC

Contact information

FINRA licenses (19 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

TELSEY ADVISORY GROUP LLC

TRUST BUT VERIFY

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