Mark Allen Smith

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 01/2013 → Present
  Cetera Advisors Llc
  Denver, CO
• 01/2017 → 04/2020
  Brock Insurance Group, Llc
  Friendswood, TX
• 03/2024 → Present
  Cetera Investment Advisers Llc
  Schaumburg, IL

Previous Registrations

• 2003-12-04 → 2005-07-20
  Banc Of America Investment Services, Inc.
  Winter Park, FL
• 2000-10-01 → 2003-11-25
  Wells Fargo Clearing Services, Llc
  Jacksonville, FL

Other Businesses

(1) THE INVESTOR'S ADVOCATE, FINANCIAL SERVICES AND FIXED INSURANCE, SAME AS OFFICE ADDRESS, OWNER. (2) FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED, ADDRESS IS THE REGISTERED LOCATION, START 2009, 10 HOURS PER WEEK - VARIES DURING TRADING HOURS, INSURANCE AGENT - SELLS LIFE, HEALTH, DISABILITY, PROPERTY, CASUALTY, LONG-TERM CARE & ANNUITIES. (3) NAME OF OTHER BUSINESS: MAKEM LLC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: PROPERTY & CASUALTY INSURANCE ; START DATE: 04/2020 ; POSITION/TITLE/RELATIONSHIP: OWNER / AGENT; APX NUMBER OF HOURS PER WEEK: 30; APX NUMBER OF HOURS DURING TRADING HOURS: 30; BRIEF DESCRIPTION OF DUTIES: DEVELOP REFERRALS, CALL PROSPECTS, SELL NEW POLICIES, SERVICE EXISTING POLICIES ;

Exams

• S66 Uniform Combined State Law Examination
  2011-10-22
• S65 Uniform Investment Adviser Law Examination
  1999-10-07
• S63 Uniform Securities Agent State Law Examination
  1997-11-03