Unclaimed Profile

David Patrick Smith

SFC FINANCIAL LLC·ST. LOUIS, Missouri

Series 7, Series 63, Series 65Clean record15 years registeredSFC FINANCIAL LLC

3890 S. LINDBERGH BLVD, ST. LOUIS, MO 63127-1391CRD# 4718057Firm CRD# 129817

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David Patrick Smith · ST. LOUIS, MO

Registration

CRD #4718057 · SFC FINANCIAL LLC · 15 years registered

Brand Profile

Not yet started

Career History

WEALTH MANAGEMENT

Dec 2019 – present

BLUE OCEAN PORTFOLIOS, LLC

Jan 2016 – Jan 2018

St. Louis, MO

SMITH PATRICK ADVISORS LLC

Nov 2011 – Jan 2016

BRENTWOOD, MO

BLUE OCEAN PORTFOLIOS, LLC

Feb 2011 – Oct 2011

FRONTENAC, MO

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · February 4, 2011

Years registered · 15

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SFC FINANCIAL LLC

CRD 129817 · SEC 801-107167

AUM

$162M

Regulatory assets under management

Employees

212 client accounts

Services offered by SFC FINANCIAL LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at SFC FINANCIAL LLC →

Introduction

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Frequently Asked Questions

What services does David Patrick Smith offer?

David Patrick Smith specializes in Financial Planning, Investment Management. Contact their office in ST. LOUIS, Missouri for a consultation.

What are David Patrick Smith's credentials?

David Patrick Smith is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David Patrick Smith located?

David Patrick Smith is based in ST. LOUIS, Missouri, working with SFC FINANCIAL LLC. Their office serves clients in the ST. LOUIS metropolitan area and surrounding communities.

How does David Patrick Smith charge for services?

David Patrick Smith's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SFC FINANCIAL LLC?

SFC FINANCIAL LLC has approximately 4 employees and manages $162M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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