Mark Smith, financial advisor Englewood CO
96 score

Mark Smith

CRD Number: 1173957
Current Firm: M. J. Smith And Associates

Mark Smith (CRD# 1173957) is an Investment Advisor Representative working at M. J. Smith And Associates in Englewood, CO and has over 33 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.

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Professional Designations
Company Name Location Dates Years
Guardian Greenwood Village, CO Dec 2015 - Current 1
Mjs Puerto Rico Inc. Dorado, PR Sep 2015 - Current 1
Rental Real Estate Denver, CO Sep 2014 - Current 2
Real Estate Cas;te Rock, CO Jul 2012 - Current 4
M.j. Smith And Associates Greenwood Village, CO Jan 2006 - Current 10
Financial Planning Services Englewood, CO Jan 2006 - Current 10
Raymond James Financial Services, Inc. Greenwood Village, CO Oct 1983 - Current 33
M J Smith And Associates Englewood, CO Oct 1983 - Current 33
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Oct 1983
Contact Info for Mark J. Smith
Phone Number: 303-768-0007
Firm Website: http://www.mj-smith.com
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    692
    MILLIONS
  • Total Number of Accounts
    1,863
    ACCOUNTS
  • Average Account Value
    $371,352
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

CO, TX

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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