Mark A. Smith
Professional Summary
Mark A. Smith, who also goes by Mark A. Smith Mr., is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Stamford, Connecticut and SANFORD C. BERNSTEIN & CO., LLC located in Stamford, Connecticut. Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 2 firms and has passed the Series 65, Series 66, SIE, Series 31, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mark A. Smith Mr.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
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
23 years in the financial services industry
Current & Past Employments
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Current Firm
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
Contact Information
Main Address
501 Commerce Street, Nashville, TN 37203Phone Number
(615) 622-0000# of Employees
4,204SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
75,956AUM (Assets Under Management)
$763,401,000,000Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | Cover Page | Report |
| 11/25/2024 | Cover Page | Report |
| 10/27/2023 | Cover Page | Report |
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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.
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Primary Firm SEC Registration
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
State Registrations and Notice Filings
(9/28/2026)
(6/17/2013)
(6/19/2003)
(4/26/2006)
(6/24/2003)
(2/28/2023)
(12/21/2021)
(4/25/2017)
(10/29/2003)
(9/27/2013)
(5/27/2025)
(11/29/2011)
(1/16/2026)
(1/14/2026)
(1/15/2026)
(7/10/2003)
(1/14/2026)
(3/5/2012)
(2/13/2012)
(6/24/2003)
(6/19/2003)
(8/3/2022)
(11/12/2004)
(9/22/2003)
(6/27/2003)
(9/30/2026)
(9/12/2003)
(9/6/2007)
(2/28/2012)
(11/4/2013)
(1/11/2021)
(1/29/2025)
(4/15/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jun 2006About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed May 2006About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Mark A. Smith's CRS (Customer Relationship Summary).
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