Mark Small, financial advisor Irving TX
73 score

Mark Small

CRD Number: 4494575
Current Firm: Nfp Advisor Services, LLC

Mark Small (CRD# 4494575) is an Investment Advisor Representative working at Nfp Advisor Services, LLC in Irving, TX and has over 7 years of experience in the finance industry.

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Company Name Location Dates Years
Kestra Financial Services, Inc. Austin, TX Apr 2016 - Current < 1
Nfp Securities Inc. Irving, TX Oct 2008 - Apr 2016 7
Legacy Harbor Dallas, TX Jul 1998 - Jun 2009 10
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2009
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Regulatory Event
Get Details on the FINRA Advisor Check site
Contact Info for Mark R. Small
Phone Number: 512-697-6000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    12,254
    MILLIONS
  • Total Number of Accounts
    54,412
    ACCOUNTS
  • Average Account Value
    $225,208
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
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, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
73

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