Mark K. Smith

POINTOAK RETIREMENT ADVISORS

Silver Spring, MD

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CRD#: 3046250

Professional summary

Mark Kevin Smith is a registered financial advisor currently at POINTOAK RETIREMENT ADVISORS located in Silver Spring, Maryland.

Mark is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Mark has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 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)Name of Business: Guilford Retirement Services LLC Address: 2862 Ivy Meadow Court, Frederick, MD, 21704, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: No Start Date: 02/15/2018 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Supporting the retirement plan practice of RJ Branch 8JX

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Kevin Smith's CRS (Customer Relationship Summary).

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

December 19, 2024 - Present

POINTOAK RETIREMENT ADVISORS

RIA

CRD#: 314866

Silver Spring, MD

Past

May 24, 2016 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Frederick, MD

Past

February 8, 2016 - December 24, 2024

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Frederick, MD

Past

July 14, 1999 - December 31, 2015

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

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".

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS | POINTOAK RETIREMENT ADVISORS, LLC

CRD#: 314866 / SEC#: 801-122008

RIA

Registered Investment Advisory firm - (8/2/2021 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.

Highlighted states indicate IAR registrations

IAR

Maryland
(12/19/2024)

IAR

Virginia
(12/19/2024)

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

State Security Law Exam

IAR

Series 65

Date: 4/1/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/16/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/30/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 7/13/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

POINTOAK RETIREMENT ADVISORS

POINTOAK RETIREMENT ADVISORS | POINTOAK RETIREMENT ADVISORS, LLC

CRD#: 314866 / SEC#: 801-122008

RIA

Registered Investment Advisory firm - (8/2/2021 Approved)

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Contact information

Main Address

1751 Pinnacle Dr Ste 600, Mclean, VA 22102

Mailing Address

Phone number

(703) 595-4444

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	92
AUM (Assets Under Management)	$ 818,662,144

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.

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Firm Stability Insights

Mark K. Smith

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Kevin Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

Primary Firm SEC Registration

POINTOAK RETIREMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 65

Date: 4/1/2016

Series 63

Date: 3/16/2005

Series 7TO

Date: 7/30/2021

SIE

Date: 10/1/2018

Series 6

Date: 7/13/1999

Current Firm

POINTOAK RETIREMENT ADVISORS

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

POINTOAK RETIREMENT ADVISORS

TRUST BUT VERIFY

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