David Campbell Smith

Employer firm

Wedbush Securities Inc. CRD 877

$5.68B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Wedbush Securities Inc.

Attn: Compliance Dept. 225 S. Lake Ave Penthouse, Pasadena, CA 91101 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2022-09-22
CA	RA	APPROVED	2022-09-01

NV RA
APPROVED

Since 2022-09-22
CA RA
APPROVED

Since 2022-09-01

Branch Locations

Las Vegas, NV • United States

225 S Lake Ave Penthouse, Pasadena, CA 91101 • 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

Organization	City	State	From	To
Hilltop Securities Inc.	Beverly Hills	CA	12/2008	08/2022
Wedbush Securities	Pasadena	CA	09/2022	Present

12/2008 → 08/2022

Hilltop Securities Inc.

Beverly Hills, CA
09/2022 → Present

Wedbush Securities

Pasadena, CA

Previous Registrations

2009-09-01 → 2022-09-30

Hilltop Securities Inc.

Sherman Oaks, CA

Las Vegas, NV

Sherman Oaks, CA

Beverly Hills, CA

Las Vegas, NV

Sherman Oaks, CA
2004-01-28 → 2008-12-31

M.L. Stern & Co., Llc.

Beverly Hills, CA

Beverly Hills, CA

Beverly Hills, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2014-09-12
S63	Uniform Securities Agent State Law Examination	1992-12-15

S65 Uniform Investment Adviser Law Examination

2014-09-12
S63 Uniform Securities Agent State Law Examination

1992-12-15

View on SEC IAPD