Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Allen Smith is a registered investment advisor representative with Cetera Investment Advisers LLC. Mark has been in the financial services industry since 1998 and has a strong background in financial planning, portfolio management, and investment advisory services. Mark holds Series 7, 63, 65, and 66 licenses, as well as the SIE exam. Cetera Investment Advisers LLC is a financial services company with a national reach, committed to providing personalized investment advice and financial planning services to individuals, families, and businesses.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
03/21/2024 - Present
Cetera Investment Advisers LLC (WEBSTER TX)
FL
08/31/2005 - 08/11/2011
STATE FARM VP MANAGEMENT CORP. (MAITLAND FL)
MA
11/21/2003 - 07/20/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
MO
10/01/2000 - 11/25/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
03/23/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
10/29/1997 - 02/24/1998
VTR CAPITAL, INC. (NEW YORK NY)
BOTH
Issued 10/22/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/7/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/3/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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