Robert Mark Smith
Professional Summary
Robert Mark Smith, who also goes by Robert Smith, is a registered financial advisor currently at MARK SMITH FINANCIAL SERVICES, INC. located in Thousand Oaks, California. Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Robert has worked at 1 firm and has passed the Series 7 exam.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Robert Smith
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Videos & Posts
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Contact Information
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Disclosures on record.
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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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
MARK SMITH FINANCIAL SERVICES | SMITH, ROBERT MARK | MARK SMITH FINANCIAL SERVICES, INC.
Contact Information
Main Address
925 Broadbeck Drive Suite 230, Thousand Oaks Drive, CA 91320Phone Number
(805) 494-1588# of Employees
3Documents
Regulatory Assets Under Management
Total Number of Accounts
312AUM (Assets Under Management)
$107,743,615Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/14/2016)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Robert Mark Smith's CRS (Customer Relationship Summary).
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