David Charles Smith
CFP®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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
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.
Other Aliases
There are no additional aliases reported.
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Contact Information
Website
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Disclosures on record.
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Credentials
Years of Experience
29 years in the financial services industry
Current & Past Employments
Current
Past
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Current Firm
DELTA ASSET MANAGEMENT, LLC
Contact Information
Main Address
700 Colonial Rd Suite 220, Memphis, TN 38117Phone Number
(901) 767-4791# of Employees
10SEC notice filing (20 States and Territories)
Registered to provide investment advisory services in 20 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
1,130AUM (Assets Under Management)
$1,528,043,700Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
DELTA ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view DAVID CHARLES SMITH's CRS (Customer Relationship Summary).
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