David Woodruff Smith
Professional Summary
David Woodruff Smith, who also goes by David German, David Girman, Dave Smith, was a registered financial advisor. David was a previously registered financial professional and started their career in finance 1968 - 2014. 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
David German, David Girman, Dave Smith
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
65 years in the financial services industry
Current & Past Employments
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Current Firm
TRINITY CAPITAL MANAGEMENT, LLC
Contact Information
Main Address
7700 Shawnee Mission Parkway Suite 315, Overland Park, KS 66202Phone Number
(913) 944-4325# of Employees
2Documents
Regulatory Assets Under Management
Total Number of Accounts
86AUM (Assets Under Management)
$55,260,884Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed May 1984PC — AMEX Put and Call Exam
Passed Oct 1980Series 1 — Registered Representative Examination
Passed Feb 1961Series 12 — NYSE Branch Manager Examination
Passed Feb 1981Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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