David Carl Smith

Current Employers

Employment History

• 01/2013 → Present
  Cetera Wealth Services, Llc
  El Segundo, CA
• 06/2023 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL
• 01/1996 → Present
  Lear Way Plaza, Llc
  Medford, OR

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 5/2021 APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY & ANNUITIES 2.NAME OF OTHER BUSINESS: INVESTMENT & INSURANCE SERVICES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 1998 POSITION/TITLE/RELATIONSHIP: REGISTERED REPRESENTATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES 3. NAME OF OTHER BUSINESS: N/A INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED ADDRESS NATURE OF BUSINESS: OFFICE CONDO BUILDING START DATE: 2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: VARIES APX NUMBER OF HOURS DURING TRADING HOURS: VARIES BRIEF DESCRIPTION OF DUTIES: RENTAL OFFICE SPACE TO OPERATE BUSINESS 4. NAME OF OTHER BUSINESS: PENNINGTON SQUARE ASSN; INVESTMENT RELATED: NO; ADDRESS: 708-728 CARDLEY AVE, MEDFORD, OR 97504; NATURE OF BUSINESS: CONDO OFFICE COMPLEX ASSN; START DATE: 12/2023; POSITION/TITLE/RELATIONSHIP: PRESIDENT OF THE BOARD; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: BOARD MEETING OVER SIGHT AND OF PROPERTY MAINTENANCE FOR BUILDING AND GROUND; 5. NAME OF OTHER BUSINESS: D9 FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: 11N ROYAL AVE EAGLE POINT OR, 97524; NATURE OF BUSINESS: NON PROFIT; START DATE: 7/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES; BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL ASSISTANCE TO STUDENTS FOR EDUCATION AND ACTIVITIES; 6. NAME OF OTHER BUSINESS: D9 FOUNDATION, INVESTMENT RELATED: NO, ADDRESS: 11 N ROYAL STREET, EAGLE POINT, OR 97524, NATURE OF BUSINESS: NON-PROFIT, START DATE:08/2024, POSITION/TITLE/RELATIONSHIP: VICE PRESIDENT, APX NUMBER OF HOURS PER WEEK: 1, NOT DURING TRADING HOURS, BRIEF DESCRIPTION OF DUTIES: RUN BOARD MEETINGS IN THE EVENT THE PRESIDENT IS NOT AVAILABLE; 7. NAME OF OTHER BUSINESS: LEAR WAY PLAZA, LLC; INVESTMENT RELATED: NO; ADDRESS: 3824 LEAR WAY MEDFORD, OR 97504; NATURE OF BUSINESS: LAND HOLDING; START DATE: 01/10/1996; POSITION/TITLE/RELATIONSHIP: PART OWNER; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: PAY BILLS AND WORK WITH PARTNER TO GET PROPERTY READY TO MARKET, MAINTAIN CITY REQUIREMENTS;

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-08-23

Designations