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 advisor with over 20 years of experience in the industry. David is a Certified Financial Planner and has passed the Series 6, Series 7, Series 63, and Series 66 exams. David has been registered with Cambridge Investment Research Advisors, Inc. since December 2020. David has previously been registered with Securities America, Inc., KMS Financial Services, Inc., Investors Capital Corp., BANC OF AMERICA INVESTMENT SERVICES, INC., QUICK & REILLY, INC., MORGAN STANLEY DW INC., UBS PAINEWEBBER INC., METLIFE SECURITIES INC., and METROPOLITAN LIFE INSURANCE COMPANY. David is registered in 16 states: Arizona, California, Florida, Georgia, Maine, Massachusetts, Michigan, Mississippi, New Hampshire, New Jersey, New York, Pennsylvania, South Carolina, Texas.
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.
Solicitation fees from 3rd party money managers
1
2
MA
12/09/2020 - Present
Cambridge Investment Research Advisors, Inc. (Beverly MA)
MA
11/06/2020 - 12/08/2020
SECURITIES AMERICA, INC. (Beverly MA)
MA
08/29/2016 - 11/06/2020
KMS FINANCIAL SERVICES, INC. (Beverly MA)
MA
03/31/2006 - 09/01/2016
INVESTORS CAPITAL CORP. (WOBURN MA)
MA
10/20/2004 - 03/31/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
NY
09/04/2002 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
NY
09/10/2001 - 08/05/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
05/10/2000 - 09/18/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
MA
02/25/1999 - 10/14/1999
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
02/25/1999 - 10/14/1999
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 05/30/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/23/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2000
Series 7 - General Securities Representative Examination
BC
Issued 02/09/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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