MS
Mark W. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Ada, MI 49301
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CRD#: 1545608
MS
Professional summary
Mark Wallace Smith is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Ada, Michigan and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Ada, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
1.UNIVERSITY CLUB OF GRAND RAPIDS, 111 LYON ST NW 10TH FL, GRAND RAPIDS, MI, 6/1992 AS BOARD MEMBER. NIR - 2/MO - 0/TRADING.
2.MW SMITH & ASSOCIATES LLC, 6440 E FULTON ST, STE 200, ADA, MI, 2/1982 AS OWNER/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 10/TRADING.
3.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 40/WK - 40/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE.
4.MY BENEFITS ADMINISTRATOR, 6440 E FULTON ST, STE 200, ADA, MI, 2/2004 AS OWNER, ASSISTING GROUP CLIENTS WITH BENEFIT ADMINISTRATION AND HR FUNCTIONS. NIR - 5/MO - 3/TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Wallace 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
June 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 6440 East Fulton St., Suite 200, Ada, MI 49301RIA
CRD#: 134139
Ada, MI
Current
June 1, 2017 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 6440 East Fulton St., Suite 200, Ada, MI 49301BD
CRD#: 39543
Ada, MI
Past
January 2, 2015 - June 1, 2017
REGULUS FINANCIAL GROUP, LLC
BD
CRD#: 150631
Ada, MI
Past
June 22, 2011 - June 2, 2017
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
KENTWOOD, MI
Past
June 9, 2011 - December 31, 2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.
BD
CRD#: 18487
ADA, MI
Past
October 12, 2010 - June 8, 2011
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ADA, MI
Past
February 4, 2000 - June 8, 2011
NEW ENGLAND SECURITIES
BD
CRD#: 615
ADA, MI
Past
March 24, 1998 - January 31, 2000
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
March 1, 1996 - March 25, 1998
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 1, 1992 - December 31, 1996
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
March 4, 1987 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)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
Colorado(6/1/2017)
RR
Florida(12/1/2020)
RR
Kentucky(6/1/2017)
RR
Michigan(6/1/2017)
IAR
Michigan(6/1/2017)
RR
Ohio(6/1/2017)
RR
Pennsylvania(6/1/2017)
RR
South Carolina(12/1/2020)
RR
Texas(6/1/2017)
IAR
Texas(6/1/2017)
RR
West Virginia(6/1/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Ada, MI 49301TRUST BUT VERIFY
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