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DAVID B SMITH
DAVID BENJAMIN SMITH
CRD#: 1383778
IA
Investment Adviser
B
Broker Regulated by FINRA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
BOSTON, MA 02110
+1
Registration History
1985199019952000200520102015202020252 FIRMS2011 - Present (13 years)BAT INVESTOR SERVICES, INC. (CRD# 47837)2004 - 2005 (<1 year)BMFS FUND DISTRIBUTORS, INC. (CRD# 31052)1997 - 1999 (2 years)BMFS FUND DISTRIBUTORS, INC. (CRD# 31052)1994 - 1996 (1 year)BMFS FINANCIAL SERVICES, INC. (CRD# 18309)1988 - 1994 (6 years)BCOMMONWEALTH EQUITY SERVICES, INC. (CRD# 8032)1985 - 1988 (2 years)
Disclosure(s)
View By:
3/30/2020
Customer Dispute
Settled
License(s)

State Registrations

B
California

B
New York

B
Connecticut

B
North Carolina

IA
Connecticut

B
Pennsylvania

B
Florida

B
Rhode Island

B
Illinois

B
South Carolina

B
Iowa

B
Texas

B
Maine

IA
Texas

B
Maryland

B
Vermont

B
Massachusetts

B
Virginia

B
New Hampshire

B
Wisconsin

B
New Jersey

SRO Registrations

B
FINRA

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
West Dennis, MA
Registered with this firm since 6/22/2011

IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST, BOSTON, MA 02110
Wellesley, MA
West Dennis, MA
Registered with this firm since 7/13/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/10/2004 - 01/04/2005 AT INVESTOR SERVICES, INC. (CRD#:47837) NEW YORK, NY
B
11/04/1997 - 11/29/1999 MFS FUND DISTRIBUTORS, INC. (CRD#:31052) BOSTON, MA
B
12/06/1994 - 01/01/1996 MFS FUND DISTRIBUTORS, INC. (CRD#:31052) BOSTON, MA
B
05/24/1988 - 12/31/1994 MFS FINANCIAL SERVICES, INC. (CRD#:18309) BOSTON, MA
B
07/22/1985 - 04/26/1988 COMMONWEALTH EQUITY SERVICES, INC. (CRD#:8032)
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

State regulators are governed by their public records laws (not FINRA Rule 8312), and may provide information not in BrokerCheck, including information no longer required to be reported or updated on uniform registration forms due, for example, to its age or final disposition. You may contact your state regulator to request this additional information.

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B
Broker

A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both.
Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.

IA
Investment Adviser

An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
It is common for a financial professional to act as both a broker and an investment adviser. Because of this, we include investment advisers on BrokerCheck, and provide links to the SEC's Investment Adviser Public Disclosure (IAPD) website so you can research further.

PR
Previously Registered

A Previously Registered broker or brokerage firm is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures

Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.

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