David Smith is a registered investment advisor at Neuberger Berman Bd LLC, based in Southport, CT, with 16 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales.
Compensation
Fee-Only (% of Portfolio)
Firm Size
837 advisors
IM Fee
Planning only
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Location
Southport, CT
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Neuberger Berman Bd LLC
September 2021 - Present · 4 yrs 8 mos
Neuberger Berman Bd LLCBroker
September 2021 - Present · 4 yrs 8 mos
Neuberger Berman Bd LLC
September 2021 - Present · 4 yrs 8 mos
Previous Registrations
Citi Private Advisory, LLCBroker
September 2018 - September 2021 · 3 yrs
Citigroup Global Markets INC.
August 2018 - September 2021 · 3 yrs 1 mo
Citigroup Global Markets INC.Broker
August 2018 - September 2021 · 3 yrs 1 mo
Commonfund Securities, INC.Broker
June 2012 - February 2013 · 8 mos
J.P. Morgan Securities LLCBroker
October 2008 - June 2012 · 3 yrs 8 mos
J.P. Morgan Securities INC.Broker
November 2007 - October 2008 · 11 mos
Morgan Stanley
February 2005 - March 2005 · 1 mo
Morgan Stanley Dw INC.Broker
December 2004 - March 2005 · 3 mos
Morgan Stanley & CO., IncorporatedBroker
April 2001 - December 2004 · 3 yrs 8 mos
State Registrations40 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.