David T. Smith
Professional summary
David Tod Smith is a registered financial professional currently at COREBRIDGE CAPITAL SERVICES, INC. located in Woodland Hills, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 5 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Tod Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 27, 2011 - Present
COREBRIDGE CAPITAL SERVICES, INC.
Office #1: 21650 Oxnard Avenue Suite 750, Woodland Hills, CA 91367September 12, 2007 - May 2, 2011
PACIFIC CORNERSTONE CAPITAL INCORPORATED
October 20, 2004 - July 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - July 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 21, 2002 - October 20, 2004
QUICK & REILLY, INC.
June 13, 2002 - October 20, 2004
QUICK & REILLY, INC.
August 24, 1998 - June 7, 2002
MORGAN STANLEY DW INC.
October 11, 1995 - June 7, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/28/2011)
(1/19/2024)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
COREBRIDGE CAPITAL SERVICES, INC.
CRD#: 13158 / SEC#: , 8-28733
Contact information
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
