• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
MARK D SMITH
CRD#: 4786063
IA
Previous Investment Adviser
B
Previous Broker
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
3
Firms
0
Licenses
Registration History
200420062008201020122014201620182020202220242026IAAMERIPRISE FINANCIAL SERVICES, LLC (CRD# 6363)2009 - 2025 (15 years)IAWELLS FARGO ADVISORS, LLC (CRD# 19616)2008 - 2009 (1 year)IAA. G. EDWARDS & SONS, INC. (CRD# 4)2004 - 2008 (3 years)
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/04/2009 - 01/09/2025 AMERIPRISE FINANCIAL SERVICES, LLC (CRD#:6363) Omaha, NE
IA
01/01/2008 - 08/31/2009 WELLS FARGO ADVISORS, LLC (CRD#:19616) OMAHA, NE
IA
06/28/2004 - 01/01/2008 A. G. EDWARDS & SONS, INC. (CRD#:4) OMAHA, NE
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.