David S. Smith

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CRD#: 427295

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 Stephen Smith was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1974. David had worked at 8 firms and has passed the Series 66, Series 63, Series 5, Series 1, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 4, 2008 - January 20, 2012

ADVISORS ASSET MANAGEMENT, INC.

RIA

CRD#: 46727

BERKELEY HEIGHTS, NJ

Past

January 10, 2008 - January 20, 2012

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727

BERKELEY HEIGHTS, NJ

Past

August 2, 2005 - December 19, 2007

KEEFE, BRUYETTE & WOODS, INC.

CRD#: 481

RED BANK, NJ

Past

March 22, 1995 - August 12, 2005

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

Past

November 2, 1993 - March 15, 1995

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

October 19, 1992 - December 31, 1992

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

June 9, 1989 - October 5, 1992

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

July 25, 1987 - April 7, 1990

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

CRD#: 19727

Past

June 23, 1986 - June 3, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

February 1, 1974 - July 9, 1986

GOLDMAN SACHS & CO. LLC

CRD#: 361

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727 / SEC#: 801-62731, 8-51509

RIA

Registered Investment Advisory firm - SEC (2/6/2004 Approved)

California

Registered Investment Advisory firm - SEC (4/14/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/15/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/2/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 1

Date: 1/24/1974

Registered Representative Examination

Principal/Supervisory Exam

Series 23

Date: 5/6/2008

General Securities Principal Sales Supervisor

Principal/Supervisory Exam

Series 8

Date: 10/21/1988

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ADVISORS ASSET MANAGEMENT, INC.

CRD#: 46727 / SEC#: 801-62731, 8-51509

RIA

Registered Investment Advisory firm - SEC (2/6/2004 Approved)

California

Registered Investment Advisory firm - SEC (4/14/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (4/15/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18925 Base Camp Road Suite 203, Monument, CO 80132

Mailing Address

18925 Base Camp Road, Monument, CO 80132

Phone number

(719) 488-9956

Established

Delaware since 01/01/2008

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

274

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

AAM ADV PART 2A BROCHURE (3/21/2025)

Direct owners and executive officers

Name	Position	CRD#
AAM HOLDINGS, INC	SHAREHOLDER
CORSO, CLIFFORD DEAN	CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER/DIRECTOR	2477519
DANIEL, BART PATRICK	CHIEF TECHNOLOGY OFFICER/DIRECTOR	4263841
FERONE, MARILEE	EXEC. VP	1450526
GENOVESE, CHRISTOPHER THOMAS	EXEC. VP/DIRECTOR	2255451
GILBERT, BRIAN WAYNE	SR. VP	1857325
LLOYD, MATTHEW WILLIAM	CHIEF INVESTMENT STRATEGIST/EXEC. VP/DIRECTOR	2460808
MEITZNER, ALEX ROBERT	SR. VP	1964373
OPIE, JEFFREY KURTIS	EXEC. VP, CHIEF FINANCIAL OFFICER	5763807
SICKLES, CHARLES EDWARD	EXEC. VP	2097390
STEWART, RICHARD ALAN	EXEC. VP	1653343
STOKLOSA, TIMOTHY JOHN	EXEC. VP, CHIEF OPERATING OFFICER	4897959
WEBBER, JOHN EDWIN	SVP, CHIEF COMPLIANCE OFFICER/SECRETARY	5169415

Regulatory assets under management

Total Number of Accounts	1,591
AUM (Assets Under Management)	$ 1,958,198,460

Disclosures

Regulatory Event	5
Arbitration	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.

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Advisor Monitoring

Firm Stability Insights

David S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ADVISORS ASSET MANAGEMENT, INC.

KEEFE, BRUYETTE & WOODS, INC.

GLEACHER & COMPANY SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHASE SECURITIES, INC.

CHASE SECURITIES, INC.

DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

GOLDMAN SACHS & CO. LLC

Primary Firm SEC Registration

ADVISORS ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/2/2008

Series 63

Date: 7/29/1983

Series 5

Date: 10/15/1981

Series 1

Date: 1/24/1974

Series 23

Date: 5/6/2008

Series 8

Date: 10/21/1988

Current Firm

ADVISORS ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ADVISORS ASSET MANAGEMENT, INC.

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