Mark S. Smith

CHARTMARK INVESTMENTS

Tulsa, OK 74114

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CRD#: 2512882

Professional summary

Mark Steven Smith is a registered financial advisor currently at CHARTMARK INVESTMENTS, INC. located in Tulsa, Oklahoma.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Mark has worked at 2 firms and has passed the Series 65, Series 63, Series 31 and Series 7 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.) Member of the Board of Directors of the American Portuguese Biomedical Research Fund, Inc. 2.) Member of the Finance Council and Chair of the Investment Committee for the Catholic Diocese of Eastern Oklahoma

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Steven 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®

None

Experience

Current

August 29, 2001 - Present

CHARTMARK INVESTMENTS, INC.

Office #1: Utica Place Office Tower 2200 S Utica Place Suite 525, Tulsa, OK 74114Office #2: 2200 S Utica Place Suite 525, Tulsa, OK 74114

RIA

CRD#: 114812

Tulsa, OK

Past

August 17, 1994 - August 15, 2001

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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.

Highlighted states indicate IAR registrations

IAR

Oklahoma
(8/29/2001)

IAR

Texas
(5/28/2002)

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

IAR

Series 65

Date: 9/14/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/1/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/1/1994

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/16/1994

General Securities Representative Examination

Current Firm

CHARTMARK INVESTMENTS, INC.

CRD#: 114812 / SEC#:

Louisiana

Registered Investment Advisory firm - (10/20/2003 Approved)

Oklahoma

Registered Investment Advisory firm - (6/12/2001 Approved)

Texas

Registered Investment Advisory firm - (9/21/2001 Approved)

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Contact information

Main Address

Utica Place Office Tower 2200 S Utica Place Suite 525, Tulsa, OK 74114

Mailing Address

Phone number

(918) 477-7685

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	150
AUM (Assets Under Management)	$ 83,666,431

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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Mark S. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Steven Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARTMARK INVESTMENTS, INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/14/1994

Series 63

Date: 9/1/1994

Series 31

Date: 9/1/1994

Series 7

Date: 8/16/1994

Current Firm

CHARTMARK INVESTMENTS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CHARTMARK INVESTMENTS, INC.

TRUST BUT VERIFY

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