DS
D Mark Smith
CREATIVE FINANCIAL DESIGNS
Greenwood, IN
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CRD#: 1063531
DS
Professional summary
D Mark Smith, who also goes by D. Mark Smith, Donald Mark Smith, is a registered financial advisor currently at CREATIVE FINANCIAL DESIGNS, INC. located in Greenwood, Indiana and CFD INVESTMENTS, INC. located in Greenwood, Indiana.
D Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. D Mark has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
D. Mark Smith | Donald Mark Smith
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. Five Talents Wealth Management LLC; Investments Related; 3209 W. Smith Valley Rd. Suite 238 Greenwood, IN 46142; financial Planning and investment management; President & CEO; 1/13/2023; 160hrs./month; 8hrs./securities trading hrs.; financial planning and investment management 2. South Central Indiana REMC Co-Op; Not Investments related; 300 Morton Ave. Martinsville, IN 46151; Not for Profit Electric Co-Op providing electrical and fiber to our members and non-members; Director - district 1; 2004; 4 hrs./month; 1 hr./during trading hours; On board of directors for Co-Op that provides electrical and fiber services.
CRS (Client Relationship Summary) - RIA
Click below to view D Mark Smith's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 13, 2023 - Present
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
Greenwood, IN
Current
January 13, 2023 - Present
CFD INVESTMENTS, INC.
Office #1: 3209 W. Smith Valley Rd Suite 238, Greenwood, IN 46142BD
CRD#: 25427
Greenwood, IN
Past
March 31, 2016 - January 25, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
INDIANAPOLIS, IN
Past
March 31, 2016 - January 25, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
INDIANAPOLIS, IN
Past
November 12, 2010 - March 31, 2016
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
BLOOMINGTON, IN
Past
November 12, 2010 - March 31, 2016
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
BLOOMINGTON, IN
Past
February 9, 2006 - November 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BLOOMINGTON, IN
Past
February 9, 2006 - November 16, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BLOOMINGTON, IN
Past
February 3, 1999 - February 16, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
RIA
CRD#: 453
INDIANAPOLIS, IN
Past
February 9, 1995 - February 16, 2006
J.J.B. HILLIARD, W.L. LYONS, LLC
BD
CRD#: 453
LOUISVILLE, KY
Past
September 4, 1986 - February 6, 1995
RAFFENSPERGER, HUGHES & CO., INC.
BD
CRD#: 699
INDIANAPOLIS, IN
Past
August 26, 1982 - March 26, 1985
TRAUB AND COMPANY, INC.
BD
CRD#: 4904
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/13/2023)
RR
Florida(1/13/2023)
RR
Indiana(1/13/2023)
IAR
Indiana(1/13/2023)
RR
Mississippi(1/6/2025)
RR
Oklahoma(1/13/2023)
RR
Pennsylvania(1/13/2023)
RR
Texas(1/13/2023)
RR
Virginia(1/13/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box # 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
