David Wayne Smith
CFP®Professional Summary
David Wayne Smith, CFP®, who also goes by Dave Smith, is a registered financial advisor currently at STRATEGIC WEALTH MANAGEMENT, LLC located in Bend, Oregon and UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER located in Bend, Oregon. David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. David has worked at 6 firms and has passed the Series 65, Series 63, SIE,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Dave Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Credentials
Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
STRATEGIC WEALTH MANAGEMENT, LLC
Contact Information
Main Address
365 Ne Greenwood Ave Suite #4, Bend, OR 97701Mailing Address
P.o. Box 8011, Bend, OR 97708Phone Number
(541) 385-6263# of Employees
1Documents
Regulatory Assets Under Management
Total Number of Accounts
50AUM (Assets Under Management)
$18,641,659Similar Advisors
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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.
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State Registrations and Notice Filings
(6/27/2012)
(9/13/2021)
(6/19/2020)
(3/31/2009)
(1/16/2026)
(10/6/2010)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Feb 1996Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1985About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view David Wayne Smith's CRS (Customer Relationship Summary).
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