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DS

David M. Smith

Some features on this profile are disabled
CRD#: 1912242
DS

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 Michael Smith was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1989. David had worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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

January 21, 2014 - June 19, 2018

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NEWPORT NEWS, VA
Past

April 2, 2012 - January 21, 2014

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
Newport News, VA
Past

March 16, 2012 - June 19, 2018

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
Newport News, VA
Past

December 2, 2010 - April 2, 2012

LPL FINANCIAL LLC

RIA
CRD#: 6413
NEWPORT NEWS, VA
Past

December 1, 2010 - April 2, 2012

LPL FINANCIAL LLC

BD
CRD#: 6413
NEWPORT NEWS, VA
Past

October 3, 2005 - December 2, 2010

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
YORKTOWN, VA
Past

April 4, 2000 - December 2, 2010

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
YORKTOWN, VA
Past

June 30, 1993 - December 31, 1997

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

March 23, 1989 - April 20, 1993

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA

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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/23/2005
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/22/2001
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/10/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/3/2000
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report
11/18/2022
Cover Page
Report

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.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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