David Harold Smalbach

Employer firm

Osaic Wealth, Inc. CRD 23131

$235B regulatory AUM 56,660 advisory clients

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:

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

Current Employers

Employment History

• 03/1975 → Present
  Connecticut Mutual Life Ins
  Garden City, NY
• 06/1990 → Present
  David H Smalbach Mba, Cfp
  Rickville Centre, NY
• 07/2003 → 10/2024
  American Portfolios Financial Services, Inc.
  Rockville Centre, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2016-07-14 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
• 1993-02-12 → 2003-01-28
  Nathan & Lewis Securities, Inc.
  Delray Beach, FL

Other Businesses

INSURANCE BUSINESS WHICH INCLUDES SALE OF LIFE, HEALTH, AND LONG TERM CARE INSURANCE. UNUM (PAUL REVERE FIXED ANUNITY) NON SECURITIES RELATED MINIMAL SALES AND COMMISIONS DEVOTES 2-3 HRS PER MONTH 2-3 HRS DURING MARKET HRS. 09/19/11

Exams

• S63 Uniform Securities Agent State Law Examination
  1987-07-28

Designations

• Certified Financial Planner