Mark S. Smith
Professional summary
Mark S Smith, who also goes by Mark S Smith, is a registered financial professional currently at T. ROWE PRICE INVESTMENT SERVICES, INC. located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2005. Mark has worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark S Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2025 - Present
T. ROWE PRICE INVESTMENT SERVICES, INC.
Office #1: One Vanderbilt 16th Floor, New York, NY 10017April 20, 2011 - May 29, 2024
ARTISAN PARTNERS DISTRIBUTORS LLC
August 2, 2007 - March 31, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
July 19, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
July 19, 2006 - March 31, 2011
WALNUT STREET SECURITIES, INC.
July 19, 2006 - March 31, 2011
TOWER SQUARE SECURITIES, INC.
July 19, 2006 - March 31, 2011
NEW ENGLAND SECURITIES
July 19, 2006 - March 31, 2011
MSI FINANCIAL SERVICES, INC.
July 4, 2005 - April 21, 2006
FIDELITY BROKERAGE SERVICES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/9/2025)
(10/9/2025)
Exams
FINRA
Current Firm
T. ROWE PRICE INVESTMENT SERVICES, INC.
CRD#: 8348 / SEC#: , 8-25130
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T. ROWE PRICE ASSOCIATES, INC. | SHAREHOLDER | |
| BROWN, ANNE WHITESCARVER | VICE PRESIDENT/DIRECTOR | 2396529 |
| COYNE, TIMOTHY JOHN | DIRECTOR | 2096849 |
| HERR, DAVID J | VICE PRESIDENT/DIRECTOR | 7659903 |
| KORENMAN, PHILLIP | PRESIDENT/DIRECTOR/CHAIRMAN OF THE BOARD | 4531831 |
| MUMFORD, STEPHANIE PETERS | VICE PRESIDENT/CCO | 2725261 |
| NEWMAN, CHRISTOPHER CUDDY | VICE PRESIDENT/DIRECTOR | 2037516 |
| NYCE, BRITTON | VICE PRESIDENT/CONTROLLER | 7313600 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 3 |
Red Flags
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