Unclaimed Profile

Mark Joseph Smith

M. J. SMITH AND ASSOCIATES·GREENWOOD VILLAGE, Colorado

SIE, Series 7, Series 24, Series 53, Series 63CFPPFSClean record27 years registeredM. J. SMITH AND ASSOCIATES

5613 DTC PARKWAY, GREENWOOD VILLAGE, CO 80111CRD# 1173957Firm CRD# 110919

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Mark Joseph Smith · GREENWOOD VILLAGE, CO

Registration

CRD #1173957 · M. J. SMITH AND ASSOCIATES · 27 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: M. J. SMITH AND ASSOCIATES

MERCER GLOBAL ADVISORS INC.

Jul 2020 – Apr 2022

Greenwood Village, CO

M. J. SMITH AND ASSOCIATES

Jan 1999 – Mar 2021

Greenwood Village, CO

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 53

Series 63

Registration record

First registered · January 1, 1999

Years registered · 27

Professional designations · CFP, PFS

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

M. J. SMITH AND ASSOCIATES

CRD 110919 · SEC 801-19409

AUM

$886M

Regulatory assets under management

Employees

1,784 client accounts

Services offered by M. J. SMITH AND ASSOCIATES

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at M. J. SMITH AND ASSOCIATES →

Introduction

Speak with Mark

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Mark is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in GREENWOOD VILLAGE?

Browse all registered financial advisors in GREENWOOD VILLAGE, Colorado or claim this profile if it's yours.

Browse GREENWOOD VILLAGE Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does Mark Joseph Smith offer?

Mark Joseph Smith specializes in Financial Planning, Investment Management, Wealth Management.

What are Mark Joseph Smith's credentials?

Mark Joseph Smith holds the following professional designations: CFP, PFS. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Mark Joseph Smith located?

Mark Joseph Smith is based in GREENWOOD VILLAGE, Colorado, last registered with M. J. SMITH AND ASSOCIATES.

How does Mark Joseph Smith charge for services?

Mark Joseph Smith's firm is compensated through percentage of aum, hourly charges, subscription fees, commissions. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is M. J. SMITH AND ASSOCIATES?

M. J. SMITH AND ASSOCIATES has approximately 7 employees and manages $886M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →