David Smith
David Smith is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Clayton, MO, with 46 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
7777 Bonhomme Ste 1725, Clayton, MO, 63105
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Regulatory History
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 →Other Business ActivitiesSells Insurance
David sells fixed insurance with various companies, including life, health, disability, annuities, and long-term care, dedicating about 10-20% of his time. He is also a sole proprietor and registered representative under the DBA Smith Financial Group, spending nearly full-time hours on this activity, and acts as the plan administrator/trustee for Smith Financial Group Profit Sharing Plan, spending minimal time.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Wealth Services, LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Tower Square Securities, INC.
Tower Square Securities, INC.Broker
Advantage Capital CorporationBroker
Travelers Equities Sales, INC.Broker
State Registrations27 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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