linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

David Burke Smith

Barclays Capital Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you David? Claim Your Profile

About David Burke Smith

David Burke Smith is a financial advisor with over 4 years of experience in the financial services industry. David Smith is currently registered with Barclays Capital Inc. and is licensed to conduct business in all 50 states and the District of Columbia. Prior to joining Barclays Capital Inc., David Smith was employed by J.P. MORGAN SECURITIES LLC and Putnam Retail Management Limited Partnership. David Smith holds the Series 6, 7, and SIE licenses and is a qualified investment advisor in several states.

Firm Information

David Smith is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

David Smith’s Registration & Firm History

MA

01/22/2019 - Present

Barclays Capital Inc. (BOSTON MA)

MA

02/15/2017 - 01/22/2019

J.P. MORGAN SECURITIES LLC (BOSTON MA)

MA

07/27/2015 - 01/18/2017

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (ANDOVER MA)

Not sure if David Burke Smith is right for you?

Licenses & Designations

BC

Issued 08/10/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/14/2016

Series 7 - General Securities Representative Examination

BC

Issued 07/27/2015

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for David Burke Smith.
Not sure if David Burke Smith is right for you?