David M. 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 Michael Smith was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2008 - August 5, 2013
CYPRESS CAPITAL GROUP
October 24, 2001 - August 29, 2003
U.S. TRUST COMPANY OF FLORIDA SAVINGS BANK
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
Current Firm
CYPRESS CAPITAL GROUP
CRD#: 121923 / SEC#: 801-61733
Contact information
Regulatory assets under management
| Total Number of Accounts | 52 |
| AUM (Assets Under Management) | $ 57,489,162 |
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.
