David SmithCRD Number: 3059488
Current Firm: Edward Jones
David Smith (CRD# 3059488) is an Investment Advisor Representative working at Edward Jones in Monroe, NC and has over 7 years of experience in the finance industry.
Prospera Financial Services, Inc.
Dalton Financial LLC
M Holdings Securities, Inc.
|Edward Jones||St. Louis, MO||May 2009 - Current||7|
|Citigroup Global Markets Inc.||York, PA||May 2003 - May 2009||6|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Sep 2009|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management140,424MILLIONS
Total Number of Accounts777,048ACCOUNTS
Average Account Value$180,715
- A percentage of assets under your management
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV