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Registered advisor
D•••• S••••• S•••• I•
Feed of 09/15/2026
Also filed as David Stuart Smith
At current firm
1 y
since Mar 31, 2025
In the industry
30 y
since Oct 13, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Jacksonville, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 28, 2020 to Mar 31, 2025 · Jacksonville, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 18, 2018 to Dec 16, 2019 · Jacksonville, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 27, 2009 to Jan 8, 2013 · Ft Lauderdale, Fl
- W•••• F•••• A••••••• wirehouseJul 8, 2002 to May 20, 2009 · Penney Farms, Fl
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 16, 2019, registered Jan 28, 2020 (43 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 8, 2013, registered Jan 18, 2018 (1836 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left May 20, 2009, registered Aug 27, 2009 (99 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address