RS
R. Mark Smith
IFG ADVISORY
Roswell, GA 30075
Some features on this profile are disabled
CRD#: 2554870
RS
Professional summary
R. Mark Smith, who also goes by R. Mark Smith, Richard M Smith, Richard Mark Smith, is a registered financial advisor currently at IFG ADVISORY, LLC located in Roswell, Georgia and LPL FINANCIAL LLC located in Roswell, Georgia.
R. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. R. Mark has worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
R. Mark Smith | Richard M Smith | Richard Mark 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.
1. 06/17/2014 - R.M. SMITH & ASSOCIATES, INC/ DBA ONLY/ 100%/ ATLANTA, GA 2. 06/17/2014 - INTEGRATED FINANCIAL GROUP/ DBA ONLY/ 0%/ ATLANTA, GA 3. 06/17/2014 - R.M. SMITH & ASSOCIATES, INC/ NON-VARIABLE INSURANCE/ 35%/ ATLANTA, GA 4. 06/18/2014 - REGISTERED INVESTMENT ADVISOR - (HYBRID) IFG FINANCIAL ADVISORY, LLC. - ATLANTA, GA 5. 12/04/2014 - IFG ADVISORY, LLC - REGISTERED INVESTMENT ADVISOR DBA - (HYBRID) R.M. SMITH & ASSOCIATES, INC. - TIME SPENT 80 HOURS PER MONTH - ATLANTA, GA 6. 07/10/2019 - Magnolia Financial Group - Investment related - At reported business location(s) - DBA for LPL Business (entity for LPL business) - start date:07/01/2019 - 0 hrs/mo - 0 hrs during trading. 7. 7/14/2020 - MFG Properties, LLC - Investment Related - Roswell, GA 30075 - Real Estate Rental - Started 02/20/2020 - 1 Hour Per Month During Securities Trading - Purchased building in February 2020 with business partner. 8. 12/21/2021 - MFG Planning, LLC - DBA: MFG Planning - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 12/17/2021 - 40 Hours Per Month/3 Hours During Securities Trading. 9. 07/22/2022 - B&M Lake Life, LLC - Investment Related - At Reported Business Location(s) - Other - Real Estate Non Rental - Start Date - 05/16/2022 - 0 Hours Per Month/0 Hours During Securities Trading.
CRS (Client Relationship Summary) - RIA
Click below to view R. Mark 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 17, 2014 - Present
IFG ADVISORY, LLC
Office #1: 38 Sloan Street, Roswell, GA 30075RIA
CRD#: 168012
Roswell, GA
Current
June 17, 2014 - Present
LPL FINANCIAL LLC
Office #1: 38 Sloan Street, Roswell, GA 30075RIA
BD
CRD#: 6413
Roswell, GA
Past
June 17, 2014 - August 28, 2014
IFG ADVISORY, LLC
RIA
CRD#: 168012
ATLANTA, GA
Past
April 29, 2014 - June 20, 2014
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
December 1, 2006 - June 20, 2014
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
ATLANTA, GA
Past
May 19, 2005 - June 16, 2006
USALLIANZ SECURITIES, INC.
RIA
CRD#: 40875
ATLANTA, GA
Past
February 11, 2004 - December 1, 2006
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
ATLANTA, GA
Past
January 16, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
January 16, 1995 - February 27, 2004
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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".
IA
IFG ADVISORY, LLC
ALETHEIA ADVISORY SERVICES, LLC | WHB WEALTH MANAGEMENT GROUP, LLC | WEALTHPOINT INVESTMENT MANAGEMENT | WEALTH HORIZON | THOMPSONBAKER FINANCIAL, LLC | THE BRAIN TRUST | THE ANCHOR FINANCIAL GROUP | TARRENT FINANCIAL ADVISORS | TARRANT FINANCIAL | STARK FINANCIAL | SQUIRE ASSET MANAGEMENT, LLC | SOVEREIGN INVESTMENT GROUP | SGL WEALTH MANAGEMENT | REBEKAH J FERO CFP LLC/FERO FINANCIAL | R.M. SMITH & ASSOCIATES | PINNACLE WEALTH MANAGEMENT, LLC | PATHWAYS FINANCIAL PARTNERS | PANOPTIC CAPITAL MANAGEMENT | OPEN ROAD FINANCIAL | OAK TREE FINANCIAL SERVICES | NORTH GEORGIA WEALTH MANAGEMENT GROUP | NIDA FINANCIAL GROUP, INC. | NICKELS WEALTH MANAGEMENT | NATCHEZ WEALTH MANAGEMENT | MORRIS SHANK WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT | MARATHON FINANCIAL STRATEGIES | MAGNOLIA FINANCIAL GROUP | MADISON FINANCIAL & ASSOCIATES | LINEA PRIVATE WEALTH MANAGEMENT | LEGACY CAPITAL ADVISORS, LLC | JOHNS CREEK WEALTH MANAGEMENT | JAEGER CAPITAL MANAGEMENT, LLC | IWM GROUP | INTEGRATED WEALTH MANAGEMENT GROUP | INTEGRATED FINANCIAL PARTNERS | INTEGRATED FINANCIAL GROUP | IFG ADVISORY, LLC | IFG ADVISORY | HIGHLANDS WEALTH GROUP | HIGHLAND TRUST PARTNERS | HEALY WEALTH MANAGEMENT | GUNTHER WEALTH MANAGEMENT | GARY ALPERT FINANCIAL STRATEGIES | FRANKLIN WATKINS FINANCIAL GROUP | FINANCIAL STRATEGIES GROUP, INC. | ENVISION WEALTH PARTNERS | DH CHRISTOPHER WEALTH MANAGEMENT | COLLINS WEALTH MANAGEMENT | CLOUD FAMILY WEALTH MANAGEMENT | CLEAR BLUE WEALTH | CAST AHEAD WEALTH MANGEMENT | CARVER CAPITAL | CAROLINA PLANNING CONSULTANTS, LLP | BRISARD WEALTH ADVISORY | BLUHAWK WEALTH MANAGEMENT, LLC | BALANCE WEALTH PARTNERS, LLC | ATLANTA RETIREMENT PARTNERS | APPALACHIAN WEALTH MANAGEMENT
CRD#: 168012 / SEC#: 801-80184
RIA
Registered Investment Advisory firm - (8/15/2014 Approved)Georgia
Registered Investment Advisory firm - (8/28/2014 Terminated)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
Alabama(6/17/2014)
RR
California(6/17/2014)
RR
Florida(6/17/2014)
RR
Georgia(6/17/2014)
IAR
Georgia(6/17/2014)
RR
Illinois(6/17/2014)
RR
Maine(9/27/2023)
RR
Michigan(9/5/2019)
RR
Montana(1/31/2022)
RR
Nebraska(8/21/2023)
RR
New York(1/25/2022)
RR
North Carolina(6/17/2014)
RR
Pennsylvania(8/25/2021)
RR
South Carolina(10/3/2019)
RR
Texas(6/17/2014)
IAR
Texas(1/4/2019)
RR
Virginia(12/1/2020)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
IFG ADVISORY, LLC
ALETHEIA ADVISORY SERVICES, LLC | WHB WEALTH MANAGEMENT GROUP, LLC | WEALTHPOINT INVESTMENT MANAGEMENT | WEALTH HORIZON | THOMPSONBAKER FINANCIAL, LLC | THE BRAIN TRUST | THE ANCHOR FINANCIAL GROUP | TARRENT FINANCIAL ADVISORS | TARRANT FINANCIAL | STARK FINANCIAL | SQUIRE ASSET MANAGEMENT, LLC | SOVEREIGN INVESTMENT GROUP | SGL WEALTH MANAGEMENT | REBEKAH J FERO CFP LLC/FERO FINANCIAL | R.M. SMITH & ASSOCIATES | PINNACLE WEALTH MANAGEMENT, LLC | PATHWAYS FINANCIAL PARTNERS | PANOPTIC CAPITAL MANAGEMENT | OPEN ROAD FINANCIAL | OAK TREE FINANCIAL SERVICES | NORTH GEORGIA WEALTH MANAGEMENT GROUP | NIDA FINANCIAL GROUP, INC. | NICKELS WEALTH MANAGEMENT | NATCHEZ WEALTH MANAGEMENT | MORRIS SHANK WEALTH MANAGEMENT | MILESTONE INVESTMENT MANAGEMENT | MARATHON FINANCIAL STRATEGIES | MAGNOLIA FINANCIAL GROUP | MADISON FINANCIAL & ASSOCIATES | LINEA PRIVATE WEALTH MANAGEMENT | LEGACY CAPITAL ADVISORS, LLC | JOHNS CREEK WEALTH MANAGEMENT | JAEGER CAPITAL MANAGEMENT, LLC | IWM GROUP | INTEGRATED WEALTH MANAGEMENT GROUP | INTEGRATED FINANCIAL PARTNERS | INTEGRATED FINANCIAL GROUP | IFG ADVISORY, LLC | IFG ADVISORY | HIGHLANDS WEALTH GROUP | HIGHLAND TRUST PARTNERS | HEALY WEALTH MANAGEMENT | GUNTHER WEALTH MANAGEMENT | GARY ALPERT FINANCIAL STRATEGIES | FRANKLIN WATKINS FINANCIAL GROUP | FINANCIAL STRATEGIES GROUP, INC. | ENVISION WEALTH PARTNERS | DH CHRISTOPHER WEALTH MANAGEMENT | COLLINS WEALTH MANAGEMENT | CLOUD FAMILY WEALTH MANAGEMENT | CLEAR BLUE WEALTH | CAST AHEAD WEALTH MANGEMENT | CARVER CAPITAL | CAROLINA PLANNING CONSULTANTS, LLP | BRISARD WEALTH ADVISORY | BLUHAWK WEALTH MANAGEMENT, LLC | BALANCE WEALTH PARTNERS, LLC | ATLANTA RETIREMENT PARTNERS | APPALACHIAN WEALTH MANAGEMENT
CRD#: 168012 / SEC#: 801-80184
RIA
Registered Investment Advisory firm - (8/15/2014 Approved)Georgia
Registered Investment Advisory firm - (8/28/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Ashford Center North Suite 400, Atlanta, GA 30338
Mailing Address
Phone number
(770) 353-6331
Established
Firm type
Fiscal year end
# of Employees
177
SEC notice filing (39 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,464 |
| AUM (Assets Under Management) | $ 3,972,449,338 |
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.
