David W. 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 Wayne Smith, who also goes by David Wayne Smith, David Smith, David W Smith, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2020 - November 2, 2022
VOYA FINANCIAL ADVISORS, INC.
November 7, 2017 - November 2, 2022
VOYA FINANCIAL ADVISORS, INC.
May 10, 2017 - October 31, 2017
ALLSTATE FINANCIAL SERVICES, LLC
October 24, 2008 - October 2, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 13, 2004 - May 4, 2005
METROPOLITAN LIFE INSURANCE COMPANY
October 13, 2004 - May 4, 2005
MSI FINANCIAL SERVICES, INC.
May 21, 2002 - June 20, 2003
ALLEN C. EWING & CO.
September 15, 2000 - February 15, 2001
ALLSTATE FINANCIAL SERVICES, LLC
January 1, 2000 - August 25, 2000
ALLEN C. EWING & CO.
June 30, 1997 - January 1, 2000
CAPITAL RESEARCH CORPORATION
August 24, 1991 - December 31, 1992
LINCOLN INVESTMENT
November 19, 1989 - November 6, 1996
OSAIC WEALTH, INC.
May 3, 1978 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/28/1978
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
