Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid B. Smith is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. David has been in the industry since 1998. David is registered with the state of Connecticut as an Investment Advisor Representative and Texas as a Resident Investment Advisor Representative. David is also registered with FINRA. David has Series 6, 7, 22, 63, and 66 licenses and the SIE exam. David is a member of Lesley University's Investment Committee. In addition to providing investment advice, David also offers financial planning, pension consulting, and educational seminars. David has over 20 years of experience in the financial services industry. David is committed to providing personalized service to help clients achieve their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
MA
09/22/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOSTON MA)
NY
02/10/2004 - 01/04/2005
AT INVESTOR SERVICES, INC. (NEW YORK NY)
MA
11/04/1997 - 11/29/1999
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
12/06/1994 - 01/01/1996
MFS FUND DISTRIBUTORS, INC. (BOSTON MA)
MA
05/24/1988 - 12/31/1994
MFS FINANCIAL SERVICES, INC. (BOSTON MA)
NA
07/22/1985 - 04/26/1988
COMMONWEALTH EQUITY SERVICES, INC.
BOTH
Issued 07/12/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/2011
Series 7 - General Securities Representative Examination
BC
Issued 08/09/1985
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/19/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Smith is the right advisor for you? Invested Better is here to help.
