Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Wallace Smith is a financial advisor with over 30 years of experience in the financial services industry. Mark is currently registered with Cambridge Investment Research Advisors, Inc. and has been with the firm since June 2017. Prior to joining Cambridge, Mark worked at REGULUS ADVISORS, LLC and AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. Mark specializes in providing financial advice to individuals, families, and businesses. Mark's services include financial planning, investment management, and retirement planning. He is a member of the University Club of Grand Rapids. Mark is also an independent insurance agent for various independent insurance companies.
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.
Solicitation fees from 3rd party money managers
1
2
MI
06/01/2017 - Present
Cambridge Investment Research Advisors, Inc. (Ada MI)
MI
01/02/2015 - 06/01/2017
REGULUS ADVISORS, LLC (Ada MI)
MI
06/09/2011 - 12/31/2014
AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. (ADA MI)
MI
02/04/2000 - 06/08/2011
NEW ENGLAND SECURITIES (ADA MI)
NY
03/24/1998 - 01/31/2000
CADARET, GRANT & CO., INC. (SYRACUSE NY)
MA
03/01/1996 - 03/25/1998
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MA
06/01/1992 - 12/31/1996
MANEQUITY, INC. (BOSTON MA)
NA
03/04/1987 - 03/01/1996
G. R. PHELPS & CO., INC.
IA
Issued 09/13/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/29/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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