MS
Mark L. Smith
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Fiskdale, MA
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CRD#: 1987894
MS
Professional summary
Mark Lawrence Smith, CFP® is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Fiskdale, Massachusetts and CAMBRIDGE INVESTMENT RESEARCH, INC. located in New Hudson, Michigan.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Mark has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6 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.
1. ISABEL FRANCIS SMITH DBA INTEGRATED FINANCIAL STRATEGIES, 1042 N MILFORD RD, MILFORD, MI, 05/1989. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-0/WK-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. BIG ALUM LAKE ASSOCIATION, PO BOX 355, FISKDALE, MA, BOARD MEMBER OF A PUBLIC ENTITY, 07/11/2024, NIR, 2/MO- 0/TRADING 4. LAKE ROAD ASSOCIATION, 186 Lake Rd, Sturbridge MA 01518, United States, 07/11/2024, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2/MO - 0/Trading
CRS (Client Relationship Summary) - RIA
Click below to view Mark Lawrence 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: 1992
Experience
Current
August 15, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 56757 Grand River Ave., New Hudson, MI 48165RIA
CRD#: 134139
Fiskdale, MA
Current
August 15, 2019 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 56757 Grand River Ave., New Hudson, MI 48165BD
CRD#: 39543
New Hudson, MI
Past
February 2, 2010 - August 16, 2019
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BEND, OR
Past
August 25, 2009 - August 16, 2019
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Milford, MI
Past
December 21, 1995 - December 31, 1996
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 31, 1994 - August 25, 2009
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
FARMINGTON HILLS, MI
Past
September 14, 1989 - November 29, 1995
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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
Arizona(8/15/2019)
RR
California(8/15/2019)
RR
Colorado(8/15/2019)
RR
Connecticut(8/15/2019)
RR
Florida(8/15/2019)
RR
Georgia(8/15/2019)
RR
Illinois(8/15/2019)
RR
Indiana(8/15/2019)
RR
Iowa(8/15/2019)
RR
Maryland(8/15/2019)
RR
Massachusetts(8/15/2019)
IAR
Massachusetts(8/21/2019)
RR
Michigan(8/15/2019)
IAR
Michigan(8/15/2019)
RR
Missouri(8/15/2019)
RR
New Hampshire(8/15/2019)
RR
New Jersey(3/7/2025)
RR
New York(8/15/2019)
RR
North Carolina(8/20/2019)
RR
Ohio(8/15/2019)
RR
Oregon(8/15/2019)
IAR
Oregon(8/15/2019)
RR
Pennsylvania(8/15/2019)
RR
South Carolina(8/15/2019)
RR
Texas(8/15/2019)
IAR
Texas(8/15/2019)
RR
Vermont(8/15/2019)
RR
Virginia(8/15/2019)
RR
Washington(8/15/2019)
RR
Wisconsin(8/15/2019)
RR
Wyoming(8/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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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.
