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David Llewellyn Smith
DAVID LLEWELLYN SMITH, David L Smith
CRD#: 5362714
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 225 Wyman Street
Waltham, MA 02451
Registration History
20082010201220142016201820202022202420262 FIRMS2015 - 2017 (1 year)2 FIRMS2018 - 2020 (2 years)2 FIRMS2021 - 2023 (2 years)2 FIRMS2023 - Present (1 year)BSTATE STREET GLOBAL MARKETS, LLC (CRD# 30107)2007 - 2013 (6 years)BFIDELITY BROKERAGE SERVICES LLC (CRD# 7784)2007 - 2007 (<1 year)
License(s)

State Registrations

B
Florida 10/17/2023

B
New Mexico 5/2/2024

B
Maryland 4/23/2024

B
North Carolina 1/21/2025

B
Massachusetts 7/21/2023

B
Rhode Island 7/21/2023

IA
Massachusetts 8/30/2023

B
Virginia 1/3/2024

B
New Hampshire 10/17/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
225 Wyman Street, Waltham, MA 02451
Lowell, MA
Registered with this firm since 8/30/2023

B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
225 Wyman Street, Waltham, MA 02451
Lowell, MA
Registered with this firm since 7/21/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/05/2021 - 07/07/2023 CITIZENS SECURITIES, INC. (CRD#:39550) BEDFORD, MA
B
04/05/2021 - 07/07/2023 CITIZENS SECURITIES, INC. (CRD#:39550) BEDFORD, MA
IA
06/18/2018 - 07/02/2020 SANTANDER SECURITIES (CRD#:41791) LEOMINSTER, MA
B
06/15/2018 - 07/02/2020 SANTANDER SECURITIES LLC (CRD#:41791) LEOMINSTER, MA
IA
07/06/2015 - 01/20/2017 STRATEGIC ADVISERS, INC. (CRD#:104555) BOSTON, MA
B
03/10/2015 - 01/19/2017 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) BOSTON, MA
B
12/21/2007 - 12/18/2013 STATE STREET GLOBAL MARKETS, LLC (CRD#:30107) QUINCY, MA
B
09/24/2007 - 11/23/2007 FIDELITY BROKERAGE SERVICES LLC (CRD#:7784) MERRIMACK, NH
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.