David M. Smith
Professional summary
David Moreau Smith, who also goes by David Moreau Smith, David Smith, is a registered financial advisor currently at NEUBERGER BERMAN BD LLC located in New York, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. David has worked at 8 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Moreau Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Moreau Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104September 10, 2021 - Present
NEUBERGER BERMAN BD LLC
Office #1: 1290 Avenue Of The Americas, New York, NY 10104September 5, 2018 - September 8, 2021
CITI PRIVATE ALTERNATIVES, LLC
August 24, 2018 - September 8, 2021
CITIGROUP GLOBAL MARKETS INC.
August 7, 2018 - September 8, 2021
CITIGROUP GLOBAL MARKETS INC.
June 8, 2012 - February 4, 2013
COMMONFUND SECURITIES, INC.
October 1, 2008 - June 5, 2012
J.P. MORGAN SECURITIES LLC
November 7, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
February 16, 2005 - March 21, 2005
MORGAN STANLEY DW INC.
December 7, 2004 - March 21, 2005
MORGAN STANLEY DW INC.
April 24, 2001 - December 10, 2004
MORGAN STANLEY & CO. LLC
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Nasdaq ISE, LLC
Nasdaq Stock Market
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
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.
