David W. Smith

STRATEGIC WEALTH MANAGEMENT

BEND, OR 97701

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CRD#: 1413109

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, Series 7, Series 62, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Smith

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.

1.) STRATEGIC WEALTH MANAGEMENT, LLC - CCO/OWNER/PRESIDENT/MEMBER - REGISTERED INVESTMENT ADVISOR - BEND, OR - SINCE 04/2009 - INVESTMENT RELATED

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Wayne 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®

CFP^®

Certified Financial Planner

Start date: 2007

Experience

Current

October 20, 2009 - Present

STRATEGIC WEALTH MANAGEMENT, LLC

Office #1: 365 Ne Greenwood Ave., Suite #4, Bend, OR 97701

RIA

CRD#: 150765

BEND, OR

Current

March 31, 2009 - Present

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

Office #1: 365 Ne Greenwood Ave, Suite #4, Bend, OR 97701

RIA

CRD#: 20804

Bend, OR

Past

April 19, 2007 - April 6, 2009

OSAIC SERVICES, INC.

RIA

CRD#: 133763

BEND, OR

Past

April 10, 2007 - April 6, 2009

OSAIC SERVICES, INC.

CRD#: 133763

BEND, OR

Past

July 12, 2002 - December 31, 2003

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

BEND, OR

Past

May 1, 2002 - March 28, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

BEND, OR

Past

May 1, 2002 - March 28, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

BEND, OR

Past

December 10, 1985 - April 22, 2002

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(6/28/2019)

California
(6/27/2012)

Florida
(9/13/2021)

Idaho
(6/19/2020)

Oregon
(3/31/2009)

IAR

Oregon
(10/20/2009)

Washington
(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

State Security Law Exam

IAR

Series 65

Date: 12/28/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/9/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/16/2004

General Securities Representative Examination

General Industry/Product Exam

Series 62

Date: 2/28/1996

Corporate Securities Limited Representative Examination

General Industry/Product Exam

Series 6

Date: 12/9/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/23/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STRATEGIC WEALTH MANAGEMENT, LLC

CRD#: 150765 / SEC#:

Louisiana

Registered Investment Advisory firm - (12/31/2010 Terminated)

Oregon

Registered Investment Advisory firm - (10/9/2009 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

365 Ne Greenwood Ave Suite #4, Bend, OR 97701

Mailing Address

P.o. Box 8011, Bend, OR 97708

Phone number

(541) 385-6263

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	50
AUM (Assets Under Management)	$ 18,641,659

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 W. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

VERAVEST INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/28/1995

Series 63

Date: 8/9/1993

SIE

Date: 10/1/2018

Series 7

Date: 1/16/2004

Series 62

Date: 2/28/1996

Series 6

Date: 12/9/1985

Series 24

Date: 7/23/2009

FINRA

Current Firm

STRATEGIC WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

STRATEGIC WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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