Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Moreau Smith is a financial advisor with over 14 years of experience in the financial services industry. David has been registered with the Securities and Exchange Commission (SEC) since 2004. David is currently a registered representative with Neuberger Berman BD LLC. David has worked with a number of firms in the past, including Citigroup Global Markets Inc., J.P. Morgan Securities LLC, and Morgan Stanley & Co., Incorporated. David specializes in portfolio management for individuals. David is a licensed advisor in 31 states, including Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Kentucky, Maine, Maryland, Massachusetts, Minnesota, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Dakota, Texas, Utah, Vermont, Virginia, and Washington.
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.
Helps you choose top advisors aligned with your 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.
A percentage of the total value of assets under management is charged.
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2
NY
09/10/2021 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
09/05/2018 - 09/08/2021
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
08/07/2018 - 09/08/2021
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CT
06/08/2012 - 02/04/2013
COMMONFUND SECURITIES, INC. (WILTON CT)
NY
10/01/2008 - 06/05/2012
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
11/07/2007 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
12/07/2004 - 03/21/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
04/24/2001 - 12/10/2004
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
BOTH
Issued 08/23/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/17/2007
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/11/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/30/2018
Series 31 - Futures Managed Funds Examination
BC
Issued 08/07/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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