David John Smith

Employer firm

Commonwealth Financial Network CRD 8032

$213B regulatory AUM 20,450 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Periodicals / newsletters

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

Current Employers

Commonwealth Financial Network

275 Wyman Street Suite 400, Waltham, MA 02451-1200 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2010-06-15

PA RA
APPROVED

Since 2010-06-15

Branch Locations

Pen Argyl, PA • 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
Commonwealth Financial Network	Waltham	MA	02/2003	Present

02/2003 → Present

Commonwealth Financial Network

Waltham, MA

Other Businesses

1. DJS FINANCIAL SERVICES, SELLING FIXED INSURANCE PRODUCTS, AT BRANCH LOCATION, INVESTMENT RELATED. 2. TAX PREPARATION SERVICES, NON-INVESTMENT RELATED. 3. DJS FINANCIAL SERVICES, LLC, PRESIDENT AND 100% SHAREHOLDER OF LLC CREATED AS OPERATING COMPANY FOR SECURITIES BUSINESS, INVESTMENT RELATED.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-01-04

S63 Uniform Securities Agent State Law Examination

1993-01-04

Designations

Certified Financial Planner

View on SEC IAPD