David W. 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 Wayne Smith was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1990. David had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2017 - August 23, 2024
THE LEADERS GROUP, INC.
November 30, 2007 - December 31, 2014
SIGNATOR INVESTORS, INC.
September 18, 2007 - May 14, 2015
SIGNATOR INVESTORS, INC.
October 18, 2006 - August 31, 2007
AFS BROKERAGE, INC.
July 6, 2006 - September 26, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
December 1, 1993 - May 19, 2000
STEPHENS
October 12, 1990 - July 28, 1992
STEPHENS
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
