David W. Smith
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 Woodruff Smith, who also goes by David German, David Girman, Dave Smith, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1968. David had worked at 12 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1, Series 53, Series 24, Series 12 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 24, 2011 - March 11, 2014
TRINITY CAPITAL MANAGEMENT, LLC
February 19, 2009 - August 23, 2010
TRINITY CAPITAL MANAGEMENT, LLC
June 13, 2006 - December 31, 2008
VOYA FINANCIAL ADVISORS, INC.
March 31, 2005 - March 6, 2006
CAMBRIDGE INVESTMENT RESEARCH, INC.
January 8, 2002 - April 9, 2005
LOCKWOOD FINANCIAL SERVICES, INC.
July 9, 1999 - January 29, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 2, 1998 - July 13, 1999
RBC CAPITAL MARKETS, LLC
November 26, 1990 - March 2, 1998
DAIN RAUSCHER INCORPORATED
May 16, 1989 - December 13, 1990
LEHMAN BROTHERS INC.
November 1, 1982 - June 6, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - December 21, 1982
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
November 1, 1968 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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 5
Date: 5/24/1984
Interest Rate Options ExaminationPC
Date: 10/31/1980
AMEX Put and Call ExamSeries 1
Date: 2/9/1961
Registered Representative ExaminationSeries 12
Date: 2/1/1981
NYSE Branch Manager ExaminationCurrent Firm
TRINITY CAPITAL MANAGEMENT, LLC
CRD#: 140946 / SEC#: 801-68552
Contact information
Regulatory assets under management
| Total Number of Accounts | 69 |
| AUM (Assets Under Management) | $ 47,451,607 |
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.
