Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Mark Smith is a financial advisor with over 25 years of experience in the industry. David is currently registered with Fidelity Personal and Workplace Advisors. David has held previous positions with American Express Financial Advisors Inc. and IDS Life Insurance Company. David has a Series 63, Series 65, Series 7, Series 9, Series 10 and SIE license. David is also a Certified Financial Planner. David specializes in providing financial advice to individuals, high-net-worth individuals, corporations, and charitable organizations. David is licensed to provide financial advice in Louisiana, Oklahoma, and 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.
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.
A percentage of the total value of assets under management is charged.
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2
MA
07/13/2018 - Present
Fidelity Personal AND Workplace Advisors (BOSTON MA)
MN
12/17/1992 - 07/09/1993
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/17/1992 - 07/09/1993
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 12/28/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/04/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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