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Mark D Smith

Wells Fargo Advisors Financial Network, LLC

Mobile, AL

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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-08-11
AL RA APPROVED 2002-08-16
  • TX RA
    APPROVED_RES
    Since 2016-08-11
  • AL RA
    APPROVED
    Since 2002-08-16

Branch Locations

532 Boulevard Park West, Mobile, AL 36609 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Financial Network Llc Mobile AL 05/2009 Present
Previous Registrations
  • 1998-05-12 → 2002-08-28
    Prudential Equity Group, Llc
    Mobile, AL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-03-30
S63 Uniform Securities Agent State Law Examination 1998-01-15
  • S65 Uniform Investment Adviser Law Examination
    1998-03-30
  • S63 Uniform Securities Agent State Law Examination
    1998-01-15

View on SEC IAPD

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Other Offices

FRUGAL FINANCIAL RETIREMENT PLAN SERVICES, LLC · MOBILE, AL
LEAVELL INVESTMENT MANAGEMENT, INC. · MOBILE, AL
LEAVELL INVESTMENT MANAGEMENT, INC. · MOBILE, AL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Mobile, AL
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Mobile, AL
EDWARD JONES · MOBILE, AL
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