David E. Smanik

MISCHLER FINANCIAL GROUP

New York, NY 10011

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CRD#: 5426298

Professional summary

David E Smanik, who also goes by David Smanik, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in New York, New York.

David is registered as a RR (Registered Representative) and started their career in finance in 2008. David has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

David Smanik

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) - BD

Click below to view David E Smanik'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®

None

Experience

Current

May 7, 2026 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY, 10011

CRD#: 37818

New York, NY

Past

May 24, 2023 - May 4, 2026

SPIDERROCK EXS, LLC

CRD#: 148743

New York, NY

Past

May 18, 2021 - May 5, 2023

OSCAR GRUSS & SON INCORPORATED

CRD#: 2091

NEW YORK, NY

Past

May 15, 2014 - May 4, 2021

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

September 11, 2008 - March 14, 2012

CANTOR FITZGERALD & CO.

CRD#: 134

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(5/7/2026)

New York
(5/7/2026)

Exams

State Security Law Exam

Series 63

Date: 4/29/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/20/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 3/11/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/10/2008

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/18/2025

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/9/2016

Registered Options Principal Examination

SRO Registrations

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

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 E. Smanik

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view David E Smanik's CRS (Customer Relationship Summary).

Certified licenses

Experience

MISCHLER FINANCIAL GROUP, INC.

SPIDERROCK EXS, LLC

OSCAR GRUSS & SON INCORPORATED

CANTOR FITZGERALD & CO.

CANTOR FITZGERALD & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/29/2014

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 2/20/2018

Series 55

Date: 3/11/2010

Series 7

Date: 9/10/2008

Series 24

Date: 3/18/2025

Series 4

Date: 2/9/2016

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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