Mark Lawrence Smith

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2009 → 08/2019
  Securities America Inc.
  La Vista, NE
• 08/2009 → 08/2019
  Securities America Advisors, Inc.
  Farmington Hills, MI
• 08/2019 → Present
  Cambridge Investment Research, Inc.
  Fairfield, MI
• 08/2019 → Present
  Cambridge Investment Research Advisors, Inc.
  Fairfield, IA

Previous Registrations

• 2010-02-02 → 2019-08-16
  Securities America Advisors, Inc.
  Bend, OR
  Farmington Hills, MI
  Milford, MI

Other Businesses

1. ISABEL FRANCIS SMITH DBA INTEGRATED FINANCIAL STRATEGIES, 1042 N MILFORD RD, MILFORD, MI, 05/1989. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL-0/WK-0/TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL-20/WK-20/TRADING. SEE EMPLOYMENT FOR START DATE. 3. BIG ALUM LAKE ASSOCIATION, PO BOX 355, FISKDALE, MA, BOARD MEMBER OF A PUBLIC ENTITY, 07/11/2024, NIR, 2/MO- 0/TRADING 4. LAKE ROAD ASSOCIATION, 186 Lake Rd, Sturbridge MA 01518, United States, 07/11/2024, President, Board Member/Officer/Director/Committee Member/Board Trustee, NIR, 2/MO - 0/Trading

Exams

• S63 Uniform Securities Agent State Law Examination
  1989-09-13

Designations

• Certified Financial Planner