Mark A. Smith
PRINCIPAL SECURITIES
Atlantic, IA 50022
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CRD#: 1313566
Professional summary
Mark Alan Smith, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Atlantic, Iowa.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Mark has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
***TOWNE CENTER PROPERTIES LLC. 05/2010-PRESENT. MANAGING MEMBER OF LLC, DUTIES INCLUDE COLLECTING RENT, MAINTAINING OCCUPANCY, OVERSEEING MAINTENANCE. REP ALSO PROVIDES QUARTERLY FINANCIAL REPORTS TO MEMBERS. ***ATLANTIC AIRPORT COMMISSION. 05/2010-PRESENT. MEMBER OF A 5 PERSON BOARD WHICH OVERSEES OPERATIONS OF THE AIRPORT FOR THE CITY OF ATLANTIC, IOWA. ***Whitney Group, LLC, Member of LLC that owns and operates apartment buildings, 12/22/15. ***Darryl D Smith Co., Inc., Owner, used for business expenses, no DBA, 12/21/16. ***Fixed Insurance, Life, Annuities, LTC, DI, 12/21/16. ***Atlantic High School Senior Alumni Scholarship Foundation; Not Investment Related; PO Box 205, Atlantic, IA 50022; Director; Director of foundation. Foundation awards 3-4 scholarships per year.; Start Date: 08/16/2018; 1 hrs per month; 0 during trading hours. ***SWIF LLC; Not Investment Related; Atlantic, IA; Co-Owner; Entity to own an airplane.; Start Date: 02/16/2021; na hrs per month; na during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Alan Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Alan 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®
CFP®
Start date: 1995
Experience
Current
November 3, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 603 Poplar St, Atlantic, IA 50022Office #2: 511 W Sheridan Ave, Shenandoah, IA 51601RIA
BD
CRD#: 1137
Atlantic, IA
Current
November 2, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 603 Poplar St, Atlantic, IA 50022Office #2: 511 W Sheridan Ave, Shenandoah, IA 51601RIA
BD
CRD#: 1137
Atlantic, IA
Past
February 3, 2010 - December 31, 2015
SMITH DARRYL D CO INC
RIA
CRD#: 110651
ATLANTIC, IA
Past
July 23, 2004 - November 2, 2009
SMITH HAYES ADVISERS INC
RIA
CRD#: 110776
ATLANTIC, IA
Past
January 1, 1999 - January 26, 2004
SMITH DARRYL D CO INC
RIA
CRD#: 110651
ATLANTIC, IA
Past
August 26, 1997 - November 2, 2009
SMITH HAYES FINANCIAL SERVICES CORPORATION
BD
CRD#: 17059
ATLANTIC, IA
Past
February 10, 1993 - August 27, 1997
MARINER FINANCIAL SERVICES, INC.
BD
CRD#: 8292
LARGO, FL
Past
November 21, 1984 - February 8, 1993
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
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".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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(11/2/2009)
RR
Arkansas(1/8/2010)
RR
California(11/2/2009)
RR
Colorado(11/2/2009)
RR
Connecticut(5/23/2025)
RR
Florida(11/2/2009)
RR
Georgia(11/2/2009)
RR
Illinois(9/22/2021)
RR
Iowa(11/2/2009)
IAR
Iowa(11/3/2009)
RR
Kansas(11/2/2009)
RR
Kentucky(6/27/2024)
RR
Louisiana(8/7/2024)
RR
Michigan(7/12/2013)
RR
Minnesota(11/2/2009)
RR
Missouri(11/2/2009)
RR
Nebraska(11/2/2009)
RR
North Carolina(7/26/2018)
RR
Ohio(5/16/2017)
RR
Oregon(12/18/2021)
RR
South Dakota(2/20/2018)
RR
Texas(11/2/2009)
IAR
Texas(6/16/2021)
RR
Virginia(11/14/2016)
RR
Wisconsin(12/17/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
