David SmithCRD Number: 1347175
Current Firm: On Investment Management Co
David Smith (CRD# 1347175) is an Investment Advisor Representative working at On Investment Management Co in Wichita, KS and has over 4 years of experience in the finance industry.
Cambridge Investment Research Advisors, Inc.
Ameriprise Financial Services, Inc.
|The O.n. Equity Sales Company, Inc.||Cincinnati, OH||Jun 2000 - Current||17|
|Ohio National Life Insurance||Cincinnati, OH||Jun 2000 - Current||17|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Dec 2012|
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 Management832MILLIONS
Total Number of Accounts6,888ACCOUNTS
Average Account Value$120,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- 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, VT, WA, WI, WV