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RS

Robert M. Smith

MARK SMITH FINANCIAL SERVICES
Thousand Oaks, CA 91320
Some features on this profile are disabled
CRD#: 2953960
RS

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.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Robert 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) - RIA

Click below to view Robert 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®
None

Experience

Current

July 14, 2016 - Present

MARK SMITH FINANCIAL SERVICES, INC.

Office #1: 925 Broadbeck Drive Suite 230, Thousand Oaks, CA 91320
RIA
CRD#: 131890
Thousand Oaks, CA

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
California
(7/14/2016)

Exams

General Industry/Product Exam
RR
Series 7
Date: 9/17/1997
General Securities Representative Examination

Current Firm

MS
MARK SMITH FINANCIAL SERVICES, INC.
MARK SMITH FINANCIAL SERVICES | SMITH, ROBERT MARK | MARK SMITH FINANCIAL SERVICES, INC.

CRD#: 131890 / SEC#:

California
Registered Investment Advisory firm - (9/24/1997 Approved)
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Contact information

Main Address
925 Broadbeck Drive Suite 230, Thousand Oaks Drive, CA 91320
Mailing Address
Phone number
(805) 494-1588
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts312
AUM (Assets Under Management)$ 107,743,615

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.

Company Information

MARK SMITH FINANCIAL SERVICES, INC.

CRD#: 131890Thousand Oaks, CA 91320

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