David L. Smith
Professional summary
David Lee Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, David had worked at 3 firms, which includes JHS CAPITAL ADVISORS LLC, ONLINE CAPITAL SECURITIES INC., MCGINN SMITH & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2001 - November 15, 2004
JHS CAPITAL ADVISORS, LLC
February 9, 2001 - July 2, 2004
ONLINE CAPITAL SECURITIES, INC.
January 9, 1981 - August 13, 2010
MCGINN, SMITH & CO., 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 1
Date: 4/9/1973
Registered Representative ExaminationCurrent Firm
JHS CAPITAL ADVISORS, LLC
CRD#: 112097 / SEC#: 801-71238, 8-53232
Contact information
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
