Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Anthony Smith is a financial advisor currently working with Stifel, Nicolaus & Company, Inc. located in Rochester, MI. David has been a financial advisor for over 20 years, with experience in both the broker-dealer and investment advisor industries. David is registered with the state of Michigan as both a broker and an investment advisor. David is also registered with the state of Texas as a broker. David holds various licenses including Series 7, Series 10, Series 9, Series 31, Series 63, and Series 65. David also holds the Certified Financial Planner designation. David is passionate about helping individuals and families achieve their financial goals. David focuses on providing comprehensive financial planning services, including retirement planning, college savings, investment management, and estate planning. David has experience working with high net worth individuals, families, and businesses.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
MI
01/25/2018 - Present
Stifel, Nicolaus & Company, Inc. (ROCHESTER MI)
MI
01/01/2008 - 01/11/2010
WELLS FARGO ADVISORS, LLC (CLINTON TOWNSHIP MI)
MI
04/10/2001 - 01/03/2008
A. G. EDWARDS & SONS, INC. (CLINTON TOWNSHIP MI)
IA
Issued 05/04/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/09/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/27/2017
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/30/2017
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/09/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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