David L. Smith
ROCKEFELLER FINANCIAL LLC | Senior Vice President–Wealth Management
AUSTIN, TX 78701
Some features on this profile are disabled
CRD#: 4647286
Professional summary
David Landon Smith, who also goes by Landon Smith, is a registered financial advisor currently at ROCKEFELLER FINANCIAL LLC located in Austin, Texas.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Landon Smith
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.
CRS (Client Relationship Summary) - RIA
Click below to view David Landon Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Landon Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Current
January 13, 2023 - Present
ROCKEFELLER FINANCIAL LLC
Office #1: 200 W 6th Street, Suite 2600, Austin, TX 78701RIA
BD
CRD#: 291361
AUSTIN, TX
Past
May 1, 2009 - January 24, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
AUSTIN, TX
Past
May 1, 2009 - January 24, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
AUSTIN, TX
Past
October 18, 2005 - May 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
AUSTIN, TX
Past
September 16, 2005 - May 4, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
AUSTIN, TX
Past
May 13, 2003 - September 21, 2005
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
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".
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(12/23/2024)
RR
Arkansas(1/13/2023)
RR
California(1/13/2023)
RR
Colorado(1/13/2023)
RR
Florida(1/13/2023)
RR
Georgia(1/13/2023)
RR
Idaho(1/13/2023)
RR
Illinois(1/13/2023)
RR
Iowa(1/13/2023)
RR
Louisiana(1/13/2023)
RR
Massachusetts(1/13/2023)
RR
Minnesota(1/13/2023)
RR
Mississippi(1/13/2023)
RR
Missouri(1/13/2023)
RR
Montana(1/13/2023)
RR
Nevada(1/13/2023)
RR
New York(1/13/2023)
RR
North Carolina(1/13/2023)
RR
Oklahoma(1/13/2023)
RR
Oregon(11/7/2024)
RR
Pennsylvania(1/13/2023)
RR
Puerto Rico(1/13/2023)
RR
Tennessee(1/13/2023)
RR
Texas(1/13/2023)
IAR
Texas(1/13/2023)
RR
Utah(1/13/2023)
RR
Vermont(1/13/2023)
RR
Virginia(1/13/2023)
RR
Washington(1/13/2023)
RR
Wisconsin(1/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RF
ROCKEFELLER FINANCIAL LLC
ROCKEFELLER CAPITAL MANAGEMENT | ROCKEFELLER GLOBAL FAMILY OFFICE | ROCKEFELLER FINANCIAL LLC
CRD#: 291361 / SEC#: 801-114033, 8-70054
RIA
Registered Investment Advisory firm - SEC (9/21/2018 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Mailing Address
45 Rockefeller Plaza Floor 5, New York, NY 10111
Phone number
(212) 549-5100
Established
Delaware since 10/20/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
824
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 76,628 |
| AUM (Assets Under Management) | $ 70,030,224,514 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/24/2025 | ||
| 08/26/2024 | ||
| 09/27/2023 |
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.
Company Information
ROCKEFELLER FINANCIAL LLC
Senior Vice President–Wealth ManagementCRD#: 291361Austin, TX 78701TRUST BUT VERIFY
Monitor David Smith
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
