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MARK STEVEN SMED
MARK S SMED
CRD#: 2629097
IA
B
ISC FINANCIAL ADVISORSCRD#: 157626 200 NORTH BROADWAY AVE.
ALBERT LEA, MN 56007
ALBERT LEA, MN 56007
PURSHE KAPLAN STERLING INVESTMENTSCRD#: 35747 200 North Broadway Avenue
Albert Lea, MN 56007
Albert Lea, MN 56007
0
Disclosures
29
Years of Experience
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State Registrations
B
Iowa 1/6/2021
IA
Minnesota 1/31/2014
B
Maryland 1/6/2021
B
Minnesota 1/6/2021
SRO Registrations
B
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IA
Registered with this firm since 1/31/2014
B
Registered with this firm since 1/6/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 10/03/1995 - 12/31/2020 | ALBERT LEA, MN | |
IA | 01/28/2014 - 02/14/2014 | ALBERT LEA, MN | |
IA | 06/10/2003 - 12/31/2009 | ALBERT LEA, MN |
ALBERT LEA, MN
06/10/2003 - 12/31/2009
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.