David M. Smith

REDWOOD PARK ADVISORS

Redwood City, CA 94065

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CRD#: 4892506

Professional summary

David Michael Smith, who also goes by Dave Michael Smith, is a registered financial advisor currently at REDWOOD PARK ADVISORS located in Redwood City, California.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. David has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dave Michael 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 29, 2020 - Present

REDWOOD PARK ADVISORS

Office #1: 3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065

RIA

CRD#: 307958

Redwood City, CA

Past

January 4, 2017 - July 2, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

REDWOOD CITY, CA

Past

August 4, 2016 - July 2, 2020

LPL FINANCIAL LLC

CRD#: 6413

REDWOOD CITY, CA

Past

May 31, 2006 - November 2, 2012

SUTTER SECURITIES INCORPORATED

CRD#: 30770

SAN FRANCISCO, CA

Past

May 16, 2005 - January 26, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SAN FRANCISCO, CA

Past

March 29, 2005 - January 26, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

REDWOOD PARK ADVISORS

REDWOOD PARK ADVISORS | REDWOOD PARK ADVISORS, LLC

CRD#: 307958 / SEC#: 801-128196

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

California

Registered Investment Advisory firm - (7/19/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2023 Terminated)

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/29/2020)

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

Series 63

Date: 11/14/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 4/18/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/4/2016

General Securities Representative Examination

General Industry/Product Exam

Series 31

Date: 4/29/2005

Futures Managed Funds Examination

Current Firm

REDWOOD PARK ADVISORS

REDWOOD PARK ADVISORS | REDWOOD PARK ADVISORS, LLC

CRD#: 307958 / SEC#: 801-128196

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

California

Registered Investment Advisory firm - (7/19/2023 Terminated)

Texas

Registered Investment Advisory firm - (6/19/2023 Terminated)

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Contact information

Main Address

3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065

Mailing Address

Phone number

(866) 579-8808

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	270
AUM (Assets Under Management)	$ 142,801,390

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 M. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Michael Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SUTTER SECURITIES INCORPORATED

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

REDWOOD PARK ADVISORS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/14/2016

Series 66

Date: 4/18/2005

SIE

Date: 10/1/2018

Series 7

Date: 8/4/2016

Series 31

Date: 4/29/2005

Current Firm

REDWOOD PARK ADVISORS

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

REDWOOD PARK ADVISORS

TRUST BUT VERIFY

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