Inactive

David Harrison Smith

Foster City, CA

Claim This Profile

Current Employers

Bailard, Inc.

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2009-09-10

CA RA
APPROVED

Since 2009-09-10

Branch Locations

950 Tower Ln Ste 1900, Foster City, CA 94404-2131 • 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
Bailard, Inc.	Foster City	CA	02/2009	04/2021
Bailard Fund Services, Inc.	Foster City	CA	02/2009	06/2018
Bailard, Inc	Foster City	CA	04/2021	Present

02/2009 → 04/2021

Bailard, Inc.

Foster City, CA
02/2009 → 06/2018

Bailard Fund Services, Inc.

Foster City, CA
04/2021 → Present

Bailard, Inc

Foster City, CA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2009-08-24

S66 Uniform Combined State Law Examination

2009-08-24

Designations

View on SEC IAPD

Other Firms

CITIGROUP GLOBAL MARKETS INC.

U.S. BANCORP ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO CLEARING SERVICES, LLC

SEMPERVIRENS VENTURES LLC

Other Investors

Ronald Timothy Clement

Mohammad Safariannematabad

Other Offices

CITIGROUP GLOBAL MARKETS INC. · Foster City, CA

U.S. BANCORP ADVISORS, LLC · Foster City, CA

J.P. MORGAN SECURITIES LLC · SAN MATEO, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · FOSTER CITY, CA

SUMMITRY, LLC · FOSTER CITY, CA

J.P. MORGAN SECURITIES LLC · FOSTER CITY, CA

WELLS FARGO CLEARING SERVICES, LLC · FOSTER CITY, CA

CELESTA · SAN MATEO, CA

More in Foster City, CA

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