Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark James Smith is a registered representative with RBC Capital Markets, LLC. Mark has been in the industry since September 2005 and holds a Series 7, Series 63, and Series 66. Mark has been with RBC Capital Markets, LLC since January 2017. Mark was previously employed with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc.. Mark has a special interest in serving high-net-worth individuals, corporations, and other businesses, pension and profit-sharing plans, charitable organizations, state or municipal government entities, and insurance companies. Mark is registered in 21 states and the District of Columbia.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
MN
01/18/2017 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
MN
11/24/2008 - 01/19/2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MINNEAPOLIS MN)
MN
09/15/2005 - 12/11/2008
CITIGROUP GLOBAL MARKETS INC. (MINNEAPOLIS MN)
BOTH
Issued 02/23/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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