David N. Smithwick
Professional summary
David Neal Smithwick, who also goes by David N Smithwick, David Neal Smithwick, is a registered financial professional currently at FORESIDE FINANCIAL SERVICES, LLC located in Brentwood, Tennessee.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 66, Series 6TO, SIE, Series 3, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Neal Smithwick's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 27, 2024 - Present
FORESIDE FINANCIAL SERVICES, LLC
Office #1: 101 Westpark Drive Suite 330, Brentwood, TN 37027March 16, 2022 - June 29, 2022
FORESIDE FINANCIAL SERVICES, LLC
October 21, 2020 - November 10, 2022
ADVISORY RESEARCH INC
June 7, 2016 - May 20, 2020
ALLIANZ GLOBAL INVESTORS U.S. LLC
November 6, 2014 - May 20, 2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
April 2, 2004 - November 19, 2004
NELSON SECURITIES,INC.
August 26, 2003 - November 19, 2004
NELSON SECURITIES,INC.
May 28, 2003 - June 26, 2003
FIRST ALLIED SECURITIES, INC.
April 24, 2001 - March 18, 2003
MORGAN STANLEY DW INC.
January 1, 2001 - January 2, 2001
BUTTONWOOD PARTNERS, INC.
January 1, 2001 - March 18, 2003
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 6TO
Date: 2/27/2024
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FORESIDE FINANCIAL SERVICES, LLC
CRD#: 148477 / SEC#: , 8-68027
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VICE PRESIDENT/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
