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David B Smith

Osaic Wealth, Inc.

Mandeville, LA

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Current Employers
Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-06-04
LA RA APPROVED 2023-11-03
  • TX RA
    APPROVED_RES
    Since 2024-06-04
  • LA RA
    APPROVED
    Since 2023-11-03

Branch Locations

1555 Hwy 59, Mandeville, LA 70448 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Investment Professionals, Inc. Mandeville LA 10/2007 08/2018
Osaic Wealth, Inc. Mandeville LA 11/2023 Present
Fsc Securities Corp Atlanta GA 08/2018 11/2023
  • 10/2007 → 08/2018
    Investment Professionals, Inc.
    Mandeville, LA
  • 11/2023 → Present
    Osaic Wealth, Inc.
    Mandeville, LA
  • 08/2018 → 11/2023
    Fsc Securities Corp
    Atlanta, GA
Previous Registrations
  • 2020-07-31 → 2023-11-03
    Fsc Securities Corporation
    Mandeville, LA
    Mandeville, LA
    Atlanta, GA
  • 2007-01-12 → 2007-10-03
    Edward Jones
    Covington, LA
Other Businesses

1. DAVID B SMITH POSITION: Insurance agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 11/29/2000 ADDRESS: 2157 W Ridge Dr, Mandeville, LA 70448, Mandeville LA 70448, United States DESCRIPTION: Selling: Fixed Annuity Life Insurance 2. DEEP SOUTH INVESTMENT SERVICES LLC POSITION: Owner NATURE: LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 08/30/2018 ADDRESS: 1555 Hwy 59, Mandeville LA 70448, United States DESCRIPTION: Payroll, taxes and licensing 3. DAVID B SMITH POSITION: Insurance agent NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 11/29/2000 ADDRESS: 2157 W Ridge Dr, Mandeville, LA 70448, Mandeville LA 70448, United States DESCRIPTION: Selling:Fixed AnnuityLife Insurance

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-16
S63 Uniform Securities Agent State Law Examination 2000-10-12
  • S66 Uniform Combined State Law Examination
    2020-07-16
  • S63 Uniform Securities Agent State Law Examination
    2000-10-12
Other Names
  • David Barkley Smith

View on SEC IAPD

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Other Investors

JEFFREY DAVID BRUCE
STEWART RYAN SHIELDS
MICHAEL T HUERSTEL
DOUGLAS C TATE
RICHARD S DANIELSON
PHILBERT J DEMARIE
JEANINE MARIE CAZAUBON
DARRYL NORMAN MIERL

Other Offices

LPL FINANCIAL LLC · MANDEVILLE, LA
CONCURRENT INVESTMENT ADVISORS, LLC · Mandeville, LA
EAGLE STRATEGIES LLC · MANDEVILLE, LA
AMERIPRISE FINANCIAL SERVICES, LLC · MANDEVILLE, LA
LPL FINANCIAL LLC · MANDEVILLE, LA
SILVER OAK SECURITIES, INCORPORATED · MADISONVILLE, LA
EDELMAN FINANCIAL ENGINES · MANDEVILLE, LA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · MANDEVILLE, LA

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