David L. Smith

LINDEN THOMAS AND COMPANY SECURITIES

CHARLOTTE, NC 28202

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CRD#: 2246779

Professional summary

David Leon Smith is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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) - BD

Click below to view David Leon 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®

None

Experience

Current

June 25, 2024 - Present

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Office #1: 516 N. Tryon Street, Charlotte, NC 28202

CRD#: 290244

CHARLOTTE, NC

Past

December 2, 2022 - June 10, 2024

MML INVESTORS SERVICES, LLC

CRD#: 10409

Atlanta, GA

Past

April 19, 2022 - November 11, 2022

FIRST ASSET FINANCIAL INC.

CRD#: 139107

SALINA, KS

Past

March 5, 2021 - November 14, 2022

CAPE SECURITIES INC.

CRD#: 7072

MCDONOUGH, GA

Past

January 4, 2021 - November 14, 2022

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

CRD#: 7388

McDonough, GA

Past

November 28, 2018 - December 22, 2020

THE HUNTINGTON INVESTMENT COMPANY

CRD#: 16986

COLUMBUS, OH

Past

January 2, 2018 - November 20, 2018

BB&T SECURITIES, LLC

CRD#: 142785

CHARLOTTE, NC

Past

February 12, 2015 - January 2, 2018

BB&T INVESTMENT SERVICES, INC.

CRD#: 33856

CHARLOTTE, NC

Past

October 3, 2013 - February 12, 2015

ALLSPRING FUNDS DISTRIBUTOR, LLC

CRD#: 133366

CHARLOTTE, NC

Past

August 22, 2012 - March 6, 2013

WORLD EQUITY GROUP, INC.

CRD#: 29087

SCHAUMBURG, IL

Past

March 6, 2008 - September 9, 2011

CAPWEST SECURITIES, INC.

CRD#: 30002

GREELEY, CO

Past

September 24, 2003 - March 8, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

March 14, 2002 - October 13, 2003

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

December 18, 2000 - March 13, 2002

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

November 3, 1998 - April 11, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

April 4, 1995 - November 4, 1998

HARBOUR INVESTMENTS, INC.

CRD#: 19258

MADISON, WI

Past

June 29, 1992 - April 7, 1995

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 29, 1992 - April 7, 1995

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Indiana
(4/25/2025)

North Carolina
(6/25/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 12/6/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/8/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/25/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 5/7/2007

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/1998

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 8/26/1997

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

LINDEN THOMAS AND COMPANY SECURITIES, LLC

CRD#: 290244 / SEC#: , 8-70026

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

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Contact information

Main Address

516 N. Tryon Street, Charlotte, NC 28202

Mailing Address

516 N. Tryon Street, Charlotte, NC 28202

Phone number

(704) 554-8150

Established

North Carolina since 08/29/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (43 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
LINDEN THOMAS AND COMPANY, LLC	MEMBER
HUNT, DAVID LEE	FINOP	2772872
SMITH, DAVID LEON	CCO/ROP/GENERAL SEC & MUNICIPAL PRINCIPAL	2246779
THOMAS, STEPHEN LINDEN	MANAGING PRINCIPAL	1789031

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David L. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David Leon Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

FIRST ASSET FINANCIAL INC.

CAPE SECURITIES INC.

AMERICAN GLOBAL WEALTH MANAGEMENT, INC.

THE HUNTINGTON INVESTMENT COMPANY

BB&T SECURITIES, LLC

BB&T INVESTMENT SERVICES, INC.

ALLSPRING FUNDS DISTRIBUTOR, LLC

WORLD EQUITY GROUP, INC.

CAPWEST SECURITIES, INC.

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

VERAVEST INVESTMENTS, INC.

AMERIPRISE ADVISOR SERVICES, INC.

D.E. FREY & COMPANY, INC.

HARBOUR INVESTMENTS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/6/1999

Series 63

Date: 7/8/1992

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/25/1992

Series 53

Date: 5/7/2007

Series 24

Date: 4/27/1998

Series 4

Date: 8/26/1997

FINRA

Current Firm

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Contact information

FINRA licenses (43 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

LINDEN THOMAS AND COMPANY SECURITIES, LLC

TRUST BUT VERIFY

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