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, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark A. Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 19, 2003 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 290 Harbor Drive 4th Floor, Stamford, CT 06902June 16, 2003 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 290 Harbor Drive 2nd Floor, Stamford, CT 06902Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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)
(7/10/2003)
(3/5/2012)
(2/13/2012)
(6/24/2003)
(6/19/2003)
(8/3/2022)
(11/12/2004)
(9/22/2003)
(6/27/2003)
(9/12/2003)
(9/6/2007)
(2/28/2012)
(11/4/2013)
(1/11/2021)
(1/29/2025)
(4/15/2014)
Exams
FINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 10/27/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
