David Leon Smith
Professional Summary
David Leon Smith is a registered financial advisor currently at LINDEN THOMAS AND COMPANY SECURITIES, LLC located in Charlotte, North Carolina. David is registered as a RR (Registered Representative) and started their career in finance in 1992. David has worked at 18 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 24 and Series 4 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
LINDEN THOMAS AND COMPANY SECURITIES, LLC
Contact Information
Main Address
516 N. Tryon Street, Charlotte, NC 28202Mailing Address
516 N. Tryon Street, Charlotte, NC 28202Phone Number
(704) 554-8150Established
North Carolina since 08/29/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (43 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(4/25/2025)
(6/25/2024)
(2/17/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view David Leon Smith's CRS (Customer Relationship Summary).
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