Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Christopher Smith is a financial professional with over 20 years of experience in the industry. He is currently registered with BCP Securities, Inc. in Greenwich, CT. Prior to this, David worked at WARBURG DILLON READ LLC, SBC WARBURG DILLON READ INC. and SBC WARBURG, INC. David holds the Series 7, Series 63, Series 24 and SIE licenses. He is registered in Connecticut and New York and is a General Securities Principal.
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.
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.
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2
CT
05/15/2001 - Present
BCP Securities, Inc. (GREENWICH CT)
NY
06/29/1998 - 12/02/1999
WARBURG DILLON READ LLC (NEW YORK NY)
CT
09/02/1997 - 06/29/1998
SBC WARBURG DILLON READ INC. (STAMFORD CT)
NY
04/03/1997 - 09/02/1997
SBC WARBURG, INC. (NEW YORK NY)
BC
Issued 06/12/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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