Mark Smith, financial advisor Atlantic IA
96 score

Mark Smith

CRD Number: 1313566
Current Firm: Principal Securities, Inc.

Mark Smith (CRD# 1313566) is an Investment Advisor Representative working at Principal Securities, Inc. in Atlantic, IA and has over 31 years of experience in the finance industry. Mark Smith has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

Similar Advisors
Jon Borgman, financial advisor Atlantic IA
Jon E. Borgman
CRD# 2006136
Ameriprise Financial Services, Inc.
Score
93
Similar Advisors
Deborah Davis, financial advisor Atlantic IA
Deborah J. Davis
CRD# 5617707
Edward Jones
Score
93
Similar Advisors
Brian Farley, financial advisor Atlantic IA
Brian E. Farley
CRD# 1414869
Edward Jones
Score
93
Professional Designations
Company Name Location Dates Years
Principal Life Insurance Co Atlantic, IA Nov 2009 - Current 7
Princor Financial Services Corp Atlantic, IA Nov 2009 - Current 7
Daryl D Smith Company, Inc. Atlantic, IA May 1984 - Current 32
Smith Hayes Advisors Inc. Atlantic, IA Jul 2004 - Nov 2009 5
Smith Hayes Financial Services Corporation Atlantic, IA Aug 1997 - Nov 2009 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1985
Contact Info for Mark A. Smith
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • IA
  • TX
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

Ready to hire a financial advisor? Get competitive proposals from Mark Smith and other advisors.
BADGES
96
Clean Record
This advisor has a clean track record with regulators.

About Wealthminder

Wealthminder was created for one simple reason: To help people get the financial assistance they need to achieve their long-term financial goals.

Wealthminder is a database of every Investment Advisor Representative in the country. We work hard to collect and provide you the information you need to find a financial advisor who’s right for you.

If you are looking for a specific financial advisor and you can’t find them on Wealthminder, it’s likely that they are either exclusively a broker or are unlicensed - please contact us and we’ll try to help!

Finding a Financial Advisor through Wealthminder

Historically finding and hiring a financial advisor was hard. Wealthminder was built to make the process much easier.

The best way to use Wealthminder is to take advantage of our free proposal system. All you have to do is take a few minutes of your time to describe your situation and the assistance you are looking for.

Wealthminder then sends your request to our network of prescreened financial advisors. If a financial advisor is interested in your business, they will submit a proposal to you.

You review the proposals you receive and decide if you’d like to have a follow-up call with one or more of the financial advisors.

Throughout the process, you maintain control. We only share your contact information with a financial advisor once you ask for an introduction.