Daniel Roy Smith

Current Employers

Freemind Financial Advisory

Shirley, NY • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2024-07-08

NY RA
APPROVED

Since 2024-07-08

Branch Locations

Shirley, NY • 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

Organization	City	State	From	To
Lazard Freres & Co. Llc	New York	NY	06/2019	12/2021
Lazard Freres & Co. Llc	New York	NY	06/2018	08/2018
Jefferies	New York	NY	08/2017	12/2017
Wolfe Research	New York	NY	06/2017	08/2017
Hunter Douglas	Pearl River	NY	03/2022	09/2022
Suny At Binghamton University	Binghamton	NY	08/2015	05/2019
Freemind Financial Advisory Inc.	Shirley	NY	12/2023	Present
Freemind Consumer Products Llc	Montvale	NJ	12/2022	Present

06/2019 → 12/2021

Lazard Freres & Co. Llc

New York, NY
06/2018 → 08/2018

Lazard Freres & Co. Llc

New York, NY
08/2017 → 12/2017

Jefferies

New York, NY
06/2017 → 08/2017

Wolfe Research

New York, NY
03/2022 → 09/2022

Hunter Douglas

Pearl River, NY
08/2015 → 05/2019

Suny At Binghamton University

Binghamton, NY
12/2023 → Present

Freemind Financial Advisory Inc.

Shirley, NY
12/2022 → Present

Freemind Consumer Products Llc

Montvale, NJ

Other Businesses

DANIEL SMITH IS THE FOUNDER OF FREEMIND CONSUMER PRODUCTS LLC, AN ONLINE RETAIL SHOP, WHICH IS NOT INVESTMENT-RELATED. THE ADDRESS OF THIS BUSINESS IS 100 MARKET ST UNIT 204, MONTVALE NJ 07645. FREEMIND CONSUMER PRODUCTS LLC WAS FOUNDED IN DECEMBER 2022. DANIEL SMITH SPENDS APPROXIMATELY 15 HOURS PER MONTH TO THE BUSINESS, ALL OF WHICH OCCUR OUTSIDE NORMAL SECURITIES TRADING HOURS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2023-08-30

S65 Uniform Investment Adviser Law Examination

2023-08-30