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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 Smith is a financial advisor with Morgan Stanley. Mark Smith has been a registered representative for over 6 years. Mark Smith has passed the Series 66, Series 10, Series 9, Series 24, Series 3, Series 31, SIE and Series 7 exams. Mark Smith has been registered with FINRA since 2017. Mark Smith has over 6 years of experience in the financial services industry. Mark Smith's previous employers include PNC Investments.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
PA
01/03/2023 - Present
Morgan Stanley (Upper St. Clair PA)
PA
07/03/2017 - 12/13/2022
PNC INVESTMENTS (PITTSBURGH PA)
BOTH
Issued 05/18/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/17/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/14/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/31/2018
Series 24 - General Securities Principal Examination
BC
Issued 09/11/2023
Series 3 - National Commodity Futures Examination
BC
Issued 04/26/2023
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2017
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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