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DAVID WILLIAM SMITH
DAVID W SMITH MR, DAVID W SMITH, DAVID SMITH
CRD#: 5349530
IA
Investment Adviser
B
Broker Regulated by FINRA
LPL ENTERPRISE, LLCCRD#: 8733 3150 LIVERNOIS
SUITE 200
TROY, MI 48083
+1
Registration History
20082010201220142016201820202022202420262 FIRMS2016 - 2024 (8 years)2 FIRMS2024 - Present (<1 year)BALLSTATE FINANCIAL SERVICES, LLC (CRD# 18272)2011 - 2016 (4 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2007 - 2008 (<1 year)
Disclosure(s)
View By:
3/28/2022
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona

B
Mississippi

B
California

B
Missouri

IA
California

B
New Jersey

B
Florida

B
North Carolina

B
Georgia

B
Ohio

IA
Georgia

B
Pennsylvania

B
Illinois

IA
Pennsylvania

B
Indiana

B
South Carolina

B
Kentucky

B
Tennessee

B
Louisiana

B
Texas

B
Massachusetts

IA
Texas

B
Michigan

B
Virginia

IA
Michigan

B
Washington

B
Minnesota

B
Wisconsin

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LPL ENTERPRISE, LLC (CRD#:8733)
3150 LIVERNOIS SUITE 200, TROY, MI 48083
101 WEST BIG BEAVER ROAD SUITE 705, TROY, MI 48084
Registered with this firm since 11/14/2024

IA
LPL ENTERPRISE, LLC (CRD#:8733)
3150 LIVERNOIS SUITE 200, TROY, MI 48083
101 WEST BIG BEAVER ROAD SUITE 705, TROY, MI 48084
Registered with this firm since 11/14/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
05/19/2016 - 11/14/2024 PRUDENTIAL FINANCIAL PLANNING SERVICES (CRD#:5685) TROY, MI
B
02/09/2016 - 11/14/2024 PRUCO SECURITIES, LLC. (CRD#:5685) TROY, MI
B
07/27/2011 - 02/09/2016 ALLSTATE FINANCIAL SERVICES, LLC (CRD#:18272) Auburn Hills, MI
B
06/11/2007 - 02/26/2008 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) TROY, MI
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

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