Oral E. Smith

LIFEMARK SECURITIES

Yonkers, NY 10704

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CRD#: 2497004

Professional summary

Oral E Smith, who also goes by Oral Edward Smith, Oral Smith, is a registered financial professional currently at LIFEMARK SECURITIES CORP. located in Yonkers, New York.

Oral is registered as a RR (Registered Representative) and started their career in finance in 1996. Oral has worked at 10 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Oral Edward Smith | Oral 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oral E Smith's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 18, 2020 - Present

LIFEMARK SECURITIES CORP.

Office #1: 641 Yonkers Ave. 2nd Floor, Yonkers, NY 10704

RIA

CRD#: 16204

Yonkers, NY

Past

August 26, 2019 - January 22, 2020

PRUCO SECURITIES, LLC.

CRD#: 5685

WHITE PLAINS, NY

Past

November 13, 2018 - September 23, 2019

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

March 1, 2017 - November 8, 2018

FORESTERS EQUITY SERVICES, INC.

CRD#: 18464

SAN DIEGO, CA

Past

June 1, 2015 - December 31, 2016

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

FLUSHING, NY

Past

January 24, 2014 - April 1, 2015

IFS SECURITIES

CRD#: 40375

ATLANTA, GA

Past

September 4, 2009 - January 2, 2014

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

CRD#: 18487

NEW YORK, NY

Past

July 13, 2004 - September 3, 2009

PENN PLAZA BROKERAGE, LTD.

CRD#: 22366

NEW YORK, NY

Past

December 7, 2000 - July 14, 2004

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

EDISON, NJ

Past

May 20, 1999 - November 30, 2000

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

April 11, 1996 - April 30, 1999

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Connecticut
(2/18/2020)

Delaware
(2/18/2020)

Florida
(2/18/2020)

Georgia
(4/25/2022)

Nevada
(2/6/2024)

New Jersey
(3/4/2025)

New York
(2/18/2020)

North Carolina
(3/4/2025)

Pennsylvania
(3/4/2025)

Virginia
(4/23/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/17/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/29/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA

Registered Investment Advisory firm - SEC (10/17/2007 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

400 West Metro Park, Rochester, NY 14623

Mailing Address

400 West Metro Park, Rochester, NY 14623

Phone number

(585) 424-5672

Established

New York since 04/04/1983

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
KALINOWSKI, ANDREW JOSEPH	VP / BOARD MEMBER/SECRETARY	263409
MICCICHE, VINCENT JR	TREASURER/ FINOP/PFO/POO	702149
PRISCO, JAMES JOSEPH	CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER	2653402
PRISCO, JAMES JOSEPH	PRESIDENT / BOARD MEMBER	2653402
GEORGIEV, ALEXANDRE JR.	CCO OF THE RIA / DIRECTOR OF OPERATIONS	5307830

Regulatory assets under management

Total Number of Accounts	2,021
AUM (Assets Under Management)	$ 461,475,636

Disclosures

Regulatory Event	2
Arbitration	3

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.

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Firm Stability Insights

Oral E. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Oral E Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

LIFEMARK SECURITIES CORP.

FORESTERS EQUITY SERVICES, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

IFS SECURITIES

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

PENN PLAZA BROKERAGE, LTD.

FORESTERS FINANCIAL SERVICES, INC.

WMA SECURITIES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

LIFEMARK SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/17/1994

SIE

Date: 10/1/2018

Series 6

Date: 2/29/1996

FINRA

Current Firm

LIFEMARK SECURITIES CORP.

Contact information

SEC notice filing (46 States and Territories)

FINRA licenses (51 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

LIFEMARK SECURITIES CORP.

TRUST BUT VERIFY

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