Mark R. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Roger Smith, who also goes by Mark R Smith, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 2 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2006 - April 21, 2025
SMITH FINANCIAL ADVISORS INC.
January 18, 1996 - July 1, 2004
BANC ONE CAPITAL MARKETS, 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
Current Firm
SMITH FINANCIAL ADVISORS INC.
CRD#: 138989 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 22 |
| AUM (Assets Under Management) | $ 13,033,000 |
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.
