Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Andrew Smith is a financial advisor with Stifel, Nicolaus & Company, Inc. Mark has been working in the financial services industry since 1987. Mark is registered with FINRA and has several state registrations. Mark is also registered with the state of Florida as an investment advisor representative.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
FL
04/10/2014 - Present
Stifel, Nicolaus & Company, Inc. (CLEARWATER FL)
FL
06/01/2009 - 03/13/2013
MORGAN STANLEY (CLEARWATER FL)
FL
08/30/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CLEARWATER FL)
NY
09/22/1994 - 09/03/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/24/1987 - 09/15/1994
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 10/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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