Mark Smith
Mark Smith is a registered investment advisor at Cetera Investment Advisers LLC, based in Webster, TX, with 28 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Location
210 Odyssey Dr, Suite B, Webster, TX, 77598
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Mark owns The Investor's Advocate, providing financial services and fixed insurance. He also sells fixed insurance products, including life, health, disability, property, casualty, long-term care, and annuities, dedicating a few hours per week. Additionally, Mark owns MAKEM LLC, a property and casualty insurance business, spending about 20% of his time on it.
Employment History
Current Registrations
Cetera Investment Advisers LLC
Cetera Advisors LLCBroker
Previous Registrations
Cetera Advisors LLC
State Farm Vp Management CORP.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
First Union Brokerage Services, INC.Broker
Vtr Capital, INC.Broker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.