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David Michael Smith

Redwood Park Advisors

Redwood City, CA

CRD 4892506

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Employer firm

Redwood Park Advisors CRD 307958

$170M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Redwood Park Advisors

3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-06-29
  • CA RA
    APPROVED
    Since 2020-06-29

Branch Locations

3 Twin Dolphin Drive Suite 210, Redwood City, CA 94065 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Redwood City CA 08/2016 06/2020
Redwood Park Advisors, Llc Redwood City CA 06/2020 Present
Lpl Financial, Llc Redwood City CA 01/2017 07/2020
Previous Registrations
  • 2017-01-04 → 2020-07-02
    Lpl Financial Llc
    Redwood City, CA
  • 2005-05-16 → 2006-01-26
    Morgan Stanley Dw Inc.
    San Francisco, CA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2016-11-14
S66 Uniform Combined State Law Examination 2005-04-18
  • S63 Uniform Securities Agent State Law Examination
    2016-11-14
  • S66 Uniform Combined State Law Examination
    2005-04-18
Designations
  • Chartered Financial Analyst
Other Names
  • Dave Michael Smith

View on SEC IAPD

Nearby Firms

STRATOS WEALTH PARTNERS, LTD
ALLSTATE FINANCIAL ADVISORS, LLC
OSAIC WEALTH, INC.

Nearby Investors

JOSEPH CAPPELLO SANTOMIERI
JON NICHOLAS PETTINELLI
RICHARD MANUEL RODRIGUEZ

Nearby Offices

STRATOS WEALTH PARTNERS, LTD · Redwood City, CA
STRATOS WEALTH PARTNERS, LTD · Redwood City, CA
ALLSTATE FINANCIAL ADVISORS, LLC · Redwood City, CA

More in Redwood City, CA

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