DAVID C. SMITH

DELTA ASSET MANAGEMENT

Memphis, TN 38117

Some features on this profile are disabled

CRD#: 2240592

Professional summary

DAVID CHARLES SMITH, CFP® is a registered financial advisor currently at DELTA ASSET MANAGEMENT, LLC located in Memphis, Tennessee.

DAVID is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. DAVID has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Biography

David is a Managing Director of Delta Asset Management, where his responsibilities include equity research and financial planning.  Previously, David was CFO of American Pacific and Senior Vice President in the Equity Capital Markets Group of Morgan Keegan.  He is a CFA® charterholder and a CERTIFIED FINANCIAL PLANNER™ professional. David holds a BBA, MBA (Finance) from the University of Memphis and is a member of the CFA® Institute.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view DAVID CHARLES SMITH's CRS (Customer Relationship Summary).

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

Experience

Current

February 23, 2011 - Present

DELTA ASSET MANAGEMENT, LLC

Office #1: 700 Colonial Rd Suite 220, Memphis, TN 38117

RIA

CRD#: 113688

Memphis, TN

Past

April 22, 2005 - December 31, 2008

NESHOBA FINANCIAL PLANNING

RIA

CRD#: 134861

MEMPHIS, TN

Past

March 18, 2004 - February 14, 2005

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

MEMPHIS, TN

Past

April 7, 1997 - February 14, 2005

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

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".

DELTA ASSET MANAGEMENT, LLC

CRD#: 113688 / SEC#: 801-60492

RIA

Registered Investment Advisory firm - (11/21/2001 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Tennessee
(2/23/2011)

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

Series 63

Date: 6/3/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/24/1997

General Securities Representative Examination

Current Firm

DELTA ASSET MANAGEMENT, LLC

CRD#: 113688 / SEC#: 801-60492

RIA

Registered Investment Advisory firm - (11/21/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

700 Colonial Rd Suite 220, Memphis, TN 38117

Mailing Address

Phone number

(901) 767-4791

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2 BROCHURE (11/13/2025)

Regulatory assets under management

Total Number of Accounts	1,123
AUM (Assets Under Management)	$ 1,440,457,835

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

Similar Advisors

Stacey Hyde

ENVISION FINANCIAL PLANNING, LLC

IAR

Memphis, TN

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

DAVID C. SMITH

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view DAVID CHARLES SMITH's CRS (Customer Relationship Summary).

Certified licenses

Experience

DELTA ASSET MANAGEMENT, LLC

NESHOBA FINANCIAL PLANNING

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

Primary Firm SEC Registration

DELTA ASSET MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/3/1997

Series 7

Date: 3/24/1997

Current Firm

DELTA ASSET MANAGEMENT, LLC

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

DELTA ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

Similar Advisors