David Smith Email & Phone Number
Operations Manager @ Linden Thomas & Company
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David Smith Location
- Charlotte, NC, US
David Smith Work
- 2024 - now Operations Manager @
- 2022 - 2024 Chief Compliance Officer @ Capstone Financial
- 2021 - 2022 Chief Risk Officer @ Broker Dealer / RIA
- 2018 - 2020 Vice President, BSA and AML Compliance Officer @ Fortune 500 Finanical Services
- 2015 - 2018 Vice President, BSA and AML Compliance Officer @ Fortune 500 Financial Services Corporation
- 2013 - 2015 Compliance Consultant @
- 2012 - 2013 Chief Compliance Officer @ Broker Dealer & Registered Investment Adviser
- 2008 - 2011 Chief Compliance Officer @ Broker Dealer & Investment Advisor
- 2003 - 2008 Director of Compliance @ Jackson National Life Distributors
David Smith Education
- University of Oklahoma
Bachelor of Arts (B.A.)
David Smith Skills
- Securities
- Insurance
- Series 7
- Series 24
- Series 4
- Series 53
- Series 63
- Series 65
- Life Insurance
- FINRA
- Fixed Annuities
- Financial Services
- Audits
- Retail & Limited Broker Dealers
- Municipal Securities
- Complaints & Arbitrations
- Regulatory Compliance
- Policies & Procedures
- ETFs
- RIAs
- Annual Compliance Meeting
- Variable Annuities
- Indexed Annuities
- CEO/CFO Certification
- Licensing
- Securities Regulation
- Registration
- Surveillance
- Procedure Development
- Procedure Manuals
- Procedure Review
- Mutual Funds
- Investments
- Investment Advisory
- Alternative Investments
- AML Compliance
- Private Placements (Reg D)
- OFAC
- Retirement
- Acm
- Advertising Material Review
- History
- Performance Issues
- Legal
- Commissioned Art
- Suitability
- Property
- Internal Controls
- Registered Investment Advisors
- Denver
- Variable Life
- Portfolio Management
- Trading Desk
- SEC
- Board of Directors
- Dealer Operations
- Risk Management
- Complaints and Arbitrations
- Calls
- Community
- Investment Management
- Cell
- Accounting
- Compliance
- Wsp
- Corridor
- Operations
- Regulatory Audits
- Maintainence
- Finance
- System
- Certified Financial Planner
- Marketing
- Supervision
- American Express
- Design
- Management
- Reports
- Guidelines
- Gaps
- Auditing
- Retail and Limited Broker Dealers
- Policy
- Internal Audit
- Oklahoma
- Responsibility
- Regulations
- Strategic Planning
- Trading
- Broker Dealer
- Schedules
- Policies and Procedures
- Chartered Financial Analyst
- Communication
- Accident
- Senate
- Due Diligence
- Art
- Manuals
- Mergers and Acquisitions
- Risk Assessment
- Advertising
- Fixed Income
- Sales
- Advent
- Insurance Planning
- Supervisory
- Investment Advisers Act of 1940
- Retail
- Arbitration
- Variable
- Registrations
- Continuing Education
- Invoicing
- Political Science
- Casualty Insurance
- Dealers
- Call Centers
- Winter
- Clearing
- Oversight
- Business Lines
- Miami
- Sage Act
- Municipalities
- Jurisdiction
- Filing
- Training
- Chicago
- Distributors
- Redcine X
- Crafts
- Axys
- Registered Investment Advisor
- Reviews
- Code of Ethics
- Complaints
- Branches
- Inactive
- Form Adv
- Drafting
- Risk
- Customer Service
- Portfolio
- Public Speaking
- Contractual Agreements
- Phase Ii
- Taxations
- Testing
- R
- Compliance Regulations
- Equities
- Security
- Asset Management
- Colorado
- Presentations
- Statistical Reporting
- Olympic
- RIA
- Compliance Training
- Governance
- Notices
- Net
- Crd
- Rules
- Trains and Add Rails
- Hedge Funds
- House
- Written
- Element
- Private Placements
David Smith Summary
- David Smith, based in Charlotte, NC, US, is currently a Operations Manager at Linden Thomas & Company. David Smith brings experience from previous roles at Capstone Financial, Broker Dealer / RIA, Fortune 500 Finanical Services and Fortune 500 Financial Services Corporation. David Smith holds a Bachelor of Arts (B.A.) @ University of Oklahoma. With a robust skill set that includes Securities, Insurance, Series 7, Series 24, Series 4 and more. David Smith has 1 emails and 1 mobile phone numbers on RocketReach.
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Top Linden Thomas & Company Employees
David Smith
Operations Manager
Charlotte, NC, US
Bradley Davis
Senior Analyst
York, SC, US
Zachary Ladowski
Equity Analyst
Charlotte, NC, US
Frank Braden
Portfolio Manager
Charlotte, NC, US
Caleb Hartley
Client Partnership Manager
Matthews, NC, US
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