David A. Smith

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CRD#: 4473042

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 Allen Smith JR, who also goes by Allen Smith, D. Allen Smith Jr., David Allen Smith Jr, David Allen Smith Jr., David Allen Smith Jr Jr, David Allen Smith Jr. Jr, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2002. David had worked at 9 firms and has passed the Series 66, SIE, Series 31, Series 7, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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

January 26, 2024 - May 14, 2024

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

RIA

CRD#: 116407

FLOWERY BRANCH, GA

Past

January 23, 2024 - May 14, 2024

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

CRD#: 130139

PLYMOUTH, MN

Past

July 6, 2021 - December 15, 2023

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

ATLANTA, GA

Past

July 1, 2021 - December 15, 2023

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

September 19, 2016 - December 20, 2019

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CUMMING, GA

Past

April 2, 2014 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

CUMMING, GA

Past

March 31, 2014 - December 20, 2019

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CUMMING, GA

Past

August 2, 2012 - March 20, 2014

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ATLANTA, GA

Past

July 31, 2012 - March 20, 2014

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ATLANTA, GA

Past

June 1, 2009 - August 1, 2012

MORGAN STANLEY

RIA

CRD#: 149777

ATLANTA, GA

Past

June 1, 2009 - August 1, 2012

MORGAN STANLEY

CRD#: 149777

ATLANTA, GA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

ATLANTA, GA

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

ATLANTA, GA

Past

May 9, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NAPLES, FL

Past

May 6, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

NAPLES, FL

Past

August 23, 2002 - May 10, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

DULUTH, GA

Past

February 13, 2002 - May 10, 2005

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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".

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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: 3/8/2002

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 5/16/2007

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 2/12/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 11/23/2005

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 10/25/2005

General Securities Sales Supervisor - General Module Examination

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

WEALTH ENHANCEMENT | WEALTH ENHANCEMENT GROUP, LLC | WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

CRD#: 116407 / SEC#: 801-60749

RIA

Registered Investment Advisory firm - (12/21/2001 Approved)

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Contact information

Main Address

505 N Highway 169 Suite 900, Plymouth, MN 55441

Mailing Address

Phone number

(763) 417-1700

Established

Firm type

Fiscal year end

# of Employees

1,230

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WEAS ADV PART 2A APPENDIX 1 (10/13/2025)

WEAS ADV PART 2A (10/13/2025)

Regulatory assets under management

Total Number of Accounts	186,400
AUM (Assets Under Management)	$ 94,632,028,506

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/20/2024	Cover Page	Report
03/05/2024	Cover Page	Report
09/26/2023	Cover Page	Report

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 A. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTH ENHANCEMENT BROKERAGE SERVICES, LLC

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/8/2002

SIE

Date: 10/1/2018

Series 31

Date: 5/16/2007

Series 7

Date: 2/12/2002

Series 9

Date: 11/23/2005

Series 10

Date: 10/25/2005

Current Firm

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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