David L. Smith
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 Lewis Smith was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2016. David had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2024 - February 16, 2024
NOBLES & RICHARDS ADVISORS, LLC
January 10, 2024 - February 16, 2024
NOBLES & RICHARDS, INC.
July 24, 2023 - January 11, 2024
PFS INVESTMENTS INC.
March 20, 2018 - March 22, 2022
FIRST COMMAND ADVISORY SERVICES
August 9, 2016 - March 22, 2022
FIRST COMMAND BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NOBLES & RICHARDS ADVISORS, LLC
CRD#: 281539 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 128 |
| AUM (Assets Under Management) | $ 34,380,882 |
Red Flags
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