David Christopher Smith

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

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

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → 11/2020
  Kms Financial Services, Inc
  Seattle, WA
• 11/2020 → 12/2020
  Securities America, Inc.
  Beverly, MA
• 11/2020 → 12/2020
  Securities America Advisors, Inc.
  La Vista, NE
• 12/2020 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 12/2020 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2020-11-06 → 2020-12-08
  Securities America Advisors, Inc.
  La Vista, NE
• 2016-11-08 → 2020-11-06
  Kms Financial Services, Inc.
  Beverly, MA
  Seattle, WA
  Seattle, WA
• 2006-04-03 → 2016-09-01
  Investors Capital Corp.
  Gilford, NH
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
  Lynnfield, MA
  Woburn, MA
  Lynnfield, MA
  Lynnfield, MA
• 2004-10-20 → 2006-03-31
  Banc Of America Investment Services, Inc.
  Cambridge, MA
• 2003-07-29 → 2004-10-20
  Quick & Reilly, Inc.
  Cambridge, MA

Other Businesses

1) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. 03/15/21 2) DCS Financial Group / 100 Cummings Center Suite 346-E BEVERLY, MA 01915 / 03/31/2006 / INV REL / PRESIDENT - INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE AGENCIES / 0 HR/MO - 0 HR/MO TRADING

Exams

• S66 Uniform Combined State Law Examination
  2000-05-30
• S63 Uniform Securities Agent State Law Examination
  1999-02-23

Designations

• Certified Financial Planner

Other Names

• David Christopher Smith