MS
Mark A. Smith
CETERA INVESTMENT ADVISERS LLC
WEBSTER, TX 77598
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CRD#: 2956413
MS
Professional summary
Mark Allen Smith is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Webster, Texas and CETERA ADVISORS LLC located in Webster, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE 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) THE INVESTOR'S ADVOCATE, FINANCIAL SERVICES AND FIXED INSURANCE, SAME AS OFFICE ADDRESS, OWNER.
(2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START 2009, 10 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, PROPERTY, CASUALTY, LONG-TERM CARE & ANNUITIES.
(3) NAME OF OTHER BUSINESS: MAKEM LLC;
INVESTMENT RELATED: NO;
ADDRESS: SAME AS REGISTERED LOCATION
NATURE OF BUSINESS: PROPERTY & CASUALTY INSURANCE ;
START DATE: 04/2020 ;
POSITION/TITLE/RELATIONSHIP: OWNER / AGENT;
APX NUMBER OF HOURS PER WEEK: 30;
APX NUMBER OF HOURS DURING TRADING HOURS: 30;
BRIEF DESCRIPTION OF DUTIES: DEVELOP REFERRALS, CALL PROSPECTS, SELL NEW POLICIES, SERVICE EXISTING POLICIES ;
CRS (Client Relationship Summary) - RIA
Click below to view Mark Allen 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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 210 Odyssey Dr Suite B, Webster, TX 77598RIA
CRD#: 105644
WEBSTER, TX
Current
August 10, 2011 - Present
CETERA ADVISORS LLC
Office #1: 210 Odyssey Dr Suite B, Webster, TX 77598BD
CRD#: 10299
Webster, TX
Past
October 24, 2011 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
August 31, 2005 - August 11, 2011
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
MAITLAND, FL
Past
December 4, 2003 - July 20, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
WINTER PARK, FL
Past
November 21, 2003 - July 20, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
October 1, 2000 - November 25, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JACKSONVILLE, FL
Past
October 1, 2000 - November 25, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 23, 1998 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
BD
CRD#: 8112
CHARLOTTE, NC
Past
October 29, 1997 - February 24, 1998
FAIRCHILD FINANCIAL GROUP, INC.
BD
CRD#: 21404
NEW YORK, NY
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
California(2/28/2025)
RR
Colorado(1/24/2014)
RR
Florida(12/16/2011)
RR
Maryland(1/10/2013)
RR
Pennsylvania(6/5/2023)
RR
Texas(8/10/2011)
IAR
Texas(3/21/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
