DAVID N. SMITH & ASSOCIATES, INC.
Legal name: DAVID SMITH ADVISORY
CRD #153108 SEC #801-112898 SOUTH MIAMI, FL 305-666-9411
SEC Registered
Total AUM
$132.6M
Discretionary
$132.6M
Employees
5
Clients
--
Accounts
314
Firm Details
- Organization Type
- Corporation
- State of Formation
- Florida
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Jun 5, 2020
- Branch Offices
- 0
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
| SMITH, DAVID, NEIL | I | PRESIDENT AND CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
Jun 5, 2020 REGISTERED
Notice Filings (1)
FL
Address
5900 SW 73RD STREETSUITE 300
SOUTH MIAMI, FL 33143
United States
Phone: 305-666-9411