Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Scott Smith is a financial advisor at M Holdings Securities, Inc. David has been in the financial services industry since 2004 and holds Series 6, Series 63, and SIE licenses. David has worked with a variety of financial institutions including Essex Financial Services, Inc., Park Avenue Securities LLC, and Banc of America Investment Services, Inc. Currently, David is registered with the state of Connecticut and New York.
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.
A percentage of the total value of assets under management is charged.
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2
CT
01/15/2016 - Present
M Holdings Securities, Inc. (WEST HARTFORD CT)
CT
10/07/2011 - 01/15/2016
ESSEX FINANCIAL SERVICES, INC. (ESSEX CT)
CT
06/19/2009 - 04/15/2011
PARK AVENUE SECURITIES LLC (FARMINGTON CT)
CT
03/18/2008 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (CLINTON CT)
CT
02/25/2004 - 02/29/2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (HAMDEN CT)
BC
Issued 03/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/24/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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