David N. Smithwick
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Neal Smithwick, who also goes by David N Smithwick, David Neal Smithwick, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2024 - April 13, 2026
FORESIDE FINANCIAL SERVICES, LLC
March 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
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 2/27/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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
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