Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Ray Smith is a financial advisor with over 30 years of experience in the industry. David is a registered representative of Stifel, Nicolaus & Company, Inc. and holds Series 7 and 63 licenses. David has previously worked at WELLS FARGO ADVISORS, LLC and UBS FINANCIAL SERVICES INC.. Stifel, Nicolaus & Company, Inc. provides financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
1
2
CA
04/10/2014 - Present
Stifel, Nicolaus & Company, Inc. (FRESNO CA)
CA
05/04/2006 - 04/05/2013
WELLS FARGO ADVISORS, LLC (FRESNO CA)
NJ
06/27/1985 - 05/25/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NA
04/23/1985 - 05/23/1985
RICHARDSON GREENSHIELDS SECURITIES INC.
BC
Issued 10/21/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure David Smith is the right advisor for you? Invested Better is here to help.
