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David Gordon Smith

Pershing LLC

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About David Gordon Smith

David Gordon Smith has been in the securities industry since March 1998. David is currently registered with Pershing LLC in Lake Mary, Florida. David has also been registered with Charles Schwab & Co., Inc. in Westlake, Texas. David has passed the Series 7, Series 55, Series 63, Series 52TO, Series 57TO, Series 99TO and SIE exams. David is currently registered in Florida, New Jersey and New York.

Firm Information

David Smith is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

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David Smith’s Registration & Firm History

FL

05/06/1999 - Present

Pershing LLC (LAKE MARY FL)

TX

02/18/1998 - 03/26/1999

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BC

Issued 01/12/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/31/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/20/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 12/31/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

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 Gordon Smith.
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