Mark A. Smith
Professional summary
Mark Allen Smith, who also goes by Mark A Smith, is a registered financial professional currently at FIRST LIBERTIES FINANCIAL located in Tampa, Florida.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1987. Mark has worked at 5 firms and has passed the Series 63, Series 82TO, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Allen Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2025 - Present
FIRST LIBERTIES FINANCIAL
Office #1: 2915 N. Boulevard Suite A, Tampa, FL 33602September 15, 2011 - May 16, 2013
GREENSLEDGE CAPITAL MARKETS LLC
March 31, 2010 - July 5, 2011
ALADDIN CAPITAL LLC
January 26, 2010 - November 1, 2010
CAPPELLO CAPITAL CORP.
June 28, 1995 - November 3, 1995
CITICORP SECURITIES, INC.
May 21, 1987 - June 14, 1989
CITICORP SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 82TO
Date: 1/7/2025
Limited Representative-Private Securities OfferingsFINRA
Current Firm
FIRST LIBERTIES FINANCIAL
CRD#: 14432 / SEC#: , 8-30673
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PELION FINANCIAL GROUP, INC. | OWNER | |
| BERGMAN, HILARY GUY | DIRECTOR, PRESIDENT, FINOP, AMLCO, & CHIEF COMPLIANCE OFFICER | 1834738 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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