David A. Price

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CRD#: 1776625

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 Alan Price, who also goes by Dave Price, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1988. David had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Price

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 31, 2009 - December 31, 2024

SMITH, MOORE & CO.

RIA

CRD#: 3441

EFFINGHAM, IL

Past

July 31, 2009 - December 31, 2024

SMITH, MOORE & CO.

CRD#: 3441

EFFINGHAM, IL

Past

January 1, 2008 - August 3, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

EFFINGHAM, IL

Past

January 1, 2008 - August 3, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

EFFINGHAM, IL

Past

June 17, 2002 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

EFFINGHAM, IL

Past

January 22, 1999 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

EFFINGHAM, IL

Past

January 4, 1999 - February 10, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

October 18, 1989 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 20, 1988 - October 23, 1989

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/14/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/25/1989

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: 1/16/1988

General Securities Representative Examination

Current Firm

SMITH, MOORE & CO.

SMITH MOORE & CO. | THE SEVENS ADVISORY GROUP | SMITH, MOORE & CO.

CRD#: 3441 / SEC#: 801-68175, 8-27480

RIA

Registered Investment Advisory firm - SEC (8/8/2007 Approved)

Mississippi

Registered Investment Advisory firm - SEC (5/1/2025 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

7777 Bonhomme Ave., Suite 2400 Suite 2400, Clayton, MO 63105

Mailing Address

7777 Bonhomme Ave., Suite 2400, Clayton, MO 63105

Phone number

(314) 727-5225

Established

Missouri since 12/23/1981

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SMITH MOORE BROCHURE 03-31-2025 (3/31/2025)

WRAP PROGRAM BROCHURE 03-31-2025 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
DEUTSCH, STEWART JAMES JR	PRESIDENT, CHIEF EXECTIVE OFFICER, DIRECTOR	2537447
SCHULTE, TIMOTHY EUGENE	CHAIRMAN OF THE BOARD, DIRECTOR	1869986
RHYNER, RANDALL PAUL	EXECUTIVE VICE PRESIDENT, DIRECTOR	2443274
SCHMIDT, KENT CHARLES	EXECUTIVE VICE PRESIDENT, DIRECTOR	2153325
BRAGG, MATTHEW EDWARD	EXECUTIVE VICE PRESIDENT, SECRETARY, DIRECTOR	2279799
BRODY, AMY LYNN	CHIEF FINANCIAL OFFICER, FINOP	6486826
KRAFT, BARBARA ANN	CHIEF OPERATING OFFICER	1225082
MORAN, DANIEL PATRICK	CHIEF TECHNOLOGY OFFICER	2685632
PERRYMAN, JARET DALIN	CHIEF COMPLIANCE OFFICER	3034594

Regulatory assets under management

Total Number of Accounts	5,353
AUM (Assets Under Management)	$ 2,008,286,156

Disclosures

Regulatory Event	7
Arbitration	2

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

David A. Price

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SMITH, MOORE & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SMITH, MOORE & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/14/2002

Series 63

Date: 9/25/1989

SIE

Date: 10/1/2018

Series 7

Date: 1/16/1988

Current Firm

SMITH, MOORE & CO.

Contact information

SEC notice filing (36 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SMITH, MOORE & CO.

TRUST BUT VERIFY

Contact information

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