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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

DAVID CHRISTOPHER SMITH

Advisor at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

Beverly, MA

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Search this name across graphsid dfx:ria:556911da-b00a-4cda-9343-e242af603fa5

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Jul 29, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Feb 23, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S66|S63
First exam: Feb 23, 1999
First registration: Jul 29, 2003
Dual registered: yes, broker-dealer
Other names: DAVID CHRISTOPHER SMITH
IAPD individual key: 3132841

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 9, 2020	n/a	yes	Beverly, MA	Current employment
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Nov 6, 2020	Dec 8, 2020	no	LA VISTA, NE	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Nov 8, 2016	Nov 6, 2020	no	Beverly, MA\|SEATTLE, WA\|SEATTLE, WA	Previous registration
INVESTORS CAPITAL ADVISORY	Former SEC adviser	Apr 3, 2006	Sep 1, 2016	no	GILFORD, NH\|LYNNFIELD, MA\|LYNNFIELD, MA\|LYNNFIELD, MA\|LYNNFIELD, MA\|WOBURN, MA\|LYNNFIELD, MA\|LYNNFIELD, MA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Oct 20, 2004	Mar 31, 2006	no	CAMBRIDGE, MA	Previous registration
QUICK & REILLY, INC.	n/a	Jul 29, 2003	Oct 20, 2004	no	CAMBRIDGE, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SECURITIES AMERICA ADVISORS, INC.	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 8, 2020	Dec 9, 2020	1	Firm change	Ibd to ibd
KMS FINANCIAL SERVICES, INC	SECURITIES AMERICA ADVISORS, INC.	Nov 6, 2020	Nov 6, 2020	0	Bulk transfer	Ibd to ibd
INVESTORS CAPITAL ADVISORY	KMS FINANCIAL SERVICES, INC	Sep 1, 2016	Nov 8, 2016	68	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	INVESTORS CAPITAL ADVISORY	Mar 31, 2006	Apr 3, 2006	3	Firm change	Other
QUICK & REILLY, INC.	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 20, 2004	Oct 20, 2004	0	Bulk transfer	Other

Relationships

Registered with (6)

→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: current employment
Dec 9, 2020 to presentfactForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Nov 6, 2020 to Dec 8, 2020factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Nov 8, 2016 to Nov 6, 2020factForm ADV
→ INVESTORS CAPITAL ADVISORYRegistered adviserregistration: previous registration
Apr 3, 2006 to Sep 1, 2016factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Oct 20, 2004 to Mar 31, 2006factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
Jul 29, 2003 to Oct 20, 2004factForm ADV

Dated events

No dated event names this entity yet.