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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark A. Smith is an investment advisor representative with Alliancebernstein LP. Mark has been in the securities industry since June 15, 2003, and is registered with the Financial Industry Regulatory Authority (FINRA) as well as in multiple states. Mark holds multiple securities licenses, including Series 65, Series 66, Series 7, Series 10, Series 9, and Series 31. Mark is a registered investment advisor representative in Connecticut, Florida, New York, Texas and Virginia. Mark is affiliated with the Stamford, CT branch office of Alliancebernstein.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
CT
04/15/2014 - Present
Alliancebernstein LP (Stamford CT)
IA
Issued 08/03/2022
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 06/18/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/30/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/22/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 06/13/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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