David W. 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 William Smith, who also goes by David Smith, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 53, Series 10 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
October 8, 2015 - August 11, 2016
MARV CAPITAL INC.
November 1, 2010 - March 1, 2022
AVATAR CAPITAL GROUP LLC
February 26, 2009 - October 6, 2014
TRADITION SECURITIES AND DERIVATIVES LLC
December 5, 1995 - February 26, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 1991 - October 13, 1995
CEDAR STREET SECURITIES CORP.
July 16, 1986 - April 30, 1991
MABON, NUGENT & CO.
August 20, 1985 - July 14, 1986
RANDOLPH SCOTT OF AMITYVILLE, 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/12/2012
Limited Representative-Equity Trader ExamCurrent Firm
MARV CAPITAL INC.
CRD#: 104390 / SEC#: , 8-52855
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
