AdFi
DE

David Edward Smith

Investment Adviser Representative at BANKERS LIFE ADVISORY SERVICES, INC.

Rosedale, NYCRD #2966027Investment Adviser Rep
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
10 states
Exams Passed
3

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 10 states
ArizonaFloridaGeorgiaMarylandMassachusettsNew JerseyNew YorkPennsylvaniaSouth CarolinaTennessee
Examinations passed
Series 63
Uniform Securities Agent State Law Examination
Passed 12/13/2018
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/11/2012

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Greater than $4 million0.30%
$2 million to $4 million0.40%
$1 million to $2 million0.50%
$1 million and below1.25%
Source

BANKERS LIFE ADVISORY Services, INC. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

BANKERS LIFE SECURITIES, INC.Current
8/9/2017Rosedale, NY
CHASE INVESTMENT SERVICES CORP.
5/14/201210/1/2012NEW YORK, NY
J.P. MORGAN SECURITIES LLC
10/1/20124/24/2015ROCKVILLE CENTRE, NY

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. David Edward Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

David Edward Smith - Financial Advisor in Rosedale, NY | AdvisorFinder