PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:38 AM ET

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Mark L. Smith

Named as an officer, director or promoter on SEC Form D filings · IL, MO · Aug 15, 2014 → Apr 14, 2015

1deal (issuers)
$76Mreported sold
72investors
3Form D filings
2014–2015years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:31 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark L. Smith is listed as a director on 3 SEC Form D filings by 1 issuer between Aug 2014 and Apr 2015: CENTRUE FINANCIAL CORP (Ottawa, IL — commercial banking — 2014–2015; $76M reported sold to 72 investors).

What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

Listed alongside Daniel Kadolph (3 shared filings), Dennis McDonnell (3 shared filings), Dennis O. Battles (3 shared filings), John A. Shinkle (3 shared filings), Kurt R. Stevenson (3 shared filings) and 4 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Mark. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 2 SEC releases, 3 state regulator orders, 14 bankruptcy cases matching the name listed in Key records below.

What this means 19 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.

We compared 3 public filings for Mark L. Smith and found 8 differences: Minimum investment changed between filings; Same name, different state: "Mark Smith" (TX) is a separate record; and more below.

What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.

What the community is saying

Community search for Mark L. Smith has not run yet — it is joining a line of 58,048 names; searches run around the clock at the hosts' allowed rate. Searched so far: 650 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:31 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

2 SEC releases; 3 state regulator orders

Order AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 17, 2023 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · Decision No. 78908 · Parties (regulator's caption): Bear Fruit Films, L.L.C.; James Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Individuals Barred FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Jan 26, 2022 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Mark Smith (CRD #5776360, Littleton, Colorado)
As listed by the regulator: An AWC was issued in which Smith was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Smith consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation that originated from an amended Uniform Termination Notice for Securities Industry Registration (Form U5) filing submitted by his former member firm. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; nationwide regulator (FINRA) — the state is not a signal
Action filed AZ · Arizona Corporation Commission, Securities Division (ACC)
Order date Apr 1, 2020 · Regulator: Arizona Corporation Commission, Securities Division (ACC) · eDocket 25237 ↗ · Parties (regulator's caption): Bear Fruit Films, L.L.C. a.k.a. Bearfruit Films; James Simmons; Casey Simmons; Mark Smith
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; 35 people with this name in Form D filings; regulator in AZ (not a filing state)
Mark Smith, CPA Administrative proceeding
SEC · Nov 14, 2014 · Parties as named in the release: Mark Smith, CPA Read the release ↗
same full name in the release title; 35 people with this name in Form D filings; the person's filing state is not named
Charles E. Smith, CPA and Mark Smith, CPA Litigation release
SEC · Oct 31, 2014 · Parties as named in the release: Charles E. Smith, CPA and Mark Smith, CPA Read the release ↗
same full name in the release title; 35 people with this name in Form D filings; the person's filing state is not named
What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Mark L. Smith..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

14 cases: 2 open, 12 closed (disposition not in docket feed)

Mark S Smith open
United States Bankruptcy Court, N.D. Illinois · No. 21-01238 · Filed Jan 29, 2021
Role of Mark S Smith: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
Mark Smith closed
United States Bankruptcy Court, N.D. Illinois · No. 20-05851 · Filed Mar 2, 2020 · Closed Jul 2, 2020
Role of Mark Smith: Debtor · Outcome: Case closed 2020-07-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL)
Mark D. Smith and Tonya Renee Smith open
United States Bankruptcy Court, W.D. Missouri · No. 19-60670 · Filed Jun 7, 2019
Role of Mark D. Smith and Tonya Renee Smith: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark E Smith closed
United States Bankruptcy Court, E.D. Missouri · No. 18-47490 · Filed Nov 27, 2018 · Closed Mar 7, 2019
Role of Mark E Smith: Debtor · Outcome: Case closed 2019-03-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark L Smith closed
United States Bankruptcy Court, N.D. Illinois · No. 18-16852 · Filed Jun 13, 2018 · Closed Jun 5, 2020
Role of Mark L Smith: Debtor · Outcome: Case closed 2020-06-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL)
Mark S Smith, Sr. closed
United States Bankruptcy Court, N.D. Illinois · No. 18-08507 · Filed Mar 23, 2018 · Closed Jun 29, 2018
Role of Mark S Smith, Sr.: Debtor · Outcome: Case closed 2018-06-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
Mark D. Smith and Mary J. Smith closed
United States Bankruptcy Court, S.D. Illinois · No. 16-40968 · Filed Oct 18, 2016 · Closed Feb 28, 2017
Role of Mark D. Smith and Mary J. Smith: Debtor · Outcome: Case closed 2017-02-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
Mark S. Smith closed
United States Bankruptcy Court, E.D. Missouri · No. 16-45905 · Filed Aug 18, 2016 · Closed Dec 8, 2016
Role of Mark S. Smith: Debtor · Outcome: Case closed 2016-12-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark Smith and Stacie Smith closed
United States Bankruptcy Court, E.D. Missouri · No. 15-47752 · Filed Oct 14, 2015 · Closed Jan 28, 2016
Role of Mark Smith and Stacie Smith: Debtor · Outcome: Case closed 2016-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark L Smith closed
United States Bankruptcy Court, S.D. Illinois · No. 15-40936 · Filed Sep 30, 2015 · Closed Dec 15, 2016
Role of Mark L Smith: Debtor · Outcome: Case closed 2016-12-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL)
Mark A Smith closed
United States Bankruptcy Court, E.D. Missouri · No. 15-47376 · Filed Sep 29, 2015 · Closed Feb 26, 2016
Role of Mark A Smith: Debtor · Outcome: Case closed 2016-02-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark S. Smith and Priscilla B. Smith closed
United States Bankruptcy Court, E.D. Missouri · No. 13-41535 · Filed Feb 27, 2013 · Closed Jun 9, 2015
Role of Mark S. Smith and Priscilla B. Smith: Debtor · Outcome: Case closed 2015-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (MO); middle initial differs
Mark C Smith closed
United States Bankruptcy Court, N.D. Illinois · No. 12-83227 · Filed Aug 22, 2012 · Closed Nov 30, 2012
Role of Mark C Smith: Debtor · Outcome: Case closed 2012-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
Mark E Smith closed
United States Bankruptcy Court, N.D. Illinois · No. 12-15134 · Filed Apr 13, 2012 · Closed Aug 23, 2012
Role of Mark E Smith: Debtor · Outcome: Case closed 2012-08-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 2247 federal dockets); 35 people with this name in Form D filings; court in the person's filing state (IL); middle initial differs
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:31 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Mark L. Smith (compared 3 filings on Oct 24, 2026)

Note · Aug 15, 2014 – Apr 14, 2015

Minimum investment changed between filings — CENTRUE FINANCIAL CORP

The Aug 15, 2014 filing lists a minimum of $0; the Apr 14, 2015 Form D/A lists $20,000.

What this means A different minimum usually means the offering terms changed. Check which terms apply to you.

Form D/A (earlier) · Aug 15, 2014 ↗Form D/A (later) · Apr 14, 2015 ↗CENTRUE FINANCIAL CORP — PartnerFacts page ↗
Sources
Note · Oct 22, 2009 – Nov 12, 2021

Same name, different state: "Mark Smith" (TX) is a separate record

This page covers filings where the address state is IL or MO. A separate record, "Mark Smith" with address state TX, is listed on 4 filings — most recently by Horizon OCH Partners, LLC (Nov 12, 2021). Both records have filings in the same period (Aug 15, 2014 to Apr 14, 2015).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (TX) — PartnerFacts page ↗Form D · Nov 12, 2021 ↗Horizon OCH Partners, LLC — PartnerFacts page ↗Mark L. Smith (IL,MO) — this page ↗
Sources
Note · Sep 10, 2010 – Feb 9, 2017

Same name, different state: "Mark Smith" (SC) is a separate record

This page covers filings where the address state is IL or MO. A separate record, "Mark Smith" with address state SC, is listed on 6 filings — most recently by Outdoor Adventure Group, LLC (Feb 9, 2017). Both records have filings in the same period (Aug 15, 2014 to Apr 14, 2015).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (SC) — PartnerFacts page ↗Form D · Feb 9, 2017 ↗Outdoor Adventure Group, LLC — PartnerFacts page ↗Mark L. Smith (IL,MO) — this page ↗
Sources
Note · Jan 30, 2015 – Jul 31, 2015

Same name, different state: "Mark Smith" (PA) is a separate record

This page covers filings where the address state is IL or MO. A separate record, "Mark Smith" with address state PA, is listed on 7 filings — most recently by Geospatial Corp (Jul 31, 2015). Both records have filings in the same period (Jan 30, 2015 to Apr 14, 2015).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (PA) — PartnerFacts page ↗Form D · Jul 31, 2015 ↗Geospatial Corp — PartnerFacts page ↗Mark L. Smith (IL,MO) — this page ↗
Sources
Note · May 5, 2010

Same name, different state: "Mark Smith" (OK) is a separate record

This page covers filings where the address state is IL or MO. A separate record, "Mark Smith" with address state OK, is listed on 1 filing — most recently by AHS PharmStat, L.L.C. (May 5, 2010). The two records do not overlap in time: this page runs Aug 15, 2014 to Apr 14, 2015; the other has one filing dated May 5, 2010.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (OK) — PartnerFacts page ↗Form D · May 5, 2010 ↗AHS PharmStat, L.L.C. — PartnerFacts page ↗Mark L. Smith (IL,MO) — this page ↗
Sources
Note · Sep 24, 2009

Same name, different state: "Mark Smith" (C3) is a separate record

This page covers filings where the address state is IL or MO. A separate record, "Mark Smith" with address state C3, is listed on 1 filing — most recently by Sigma Pharmaceuticals Ltd (Sep 24, 2009). The two records do not overlap in time: this page runs Aug 15, 2014 to Apr 14, 2015; the other has one filing dated Sep 24, 2009.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Smith (C3) — PartnerFacts page ↗Form D · Sep 24, 2009 ↗Sigma Pharmaceuticals Ltd — PartnerFacts page ↗Mark L. Smith (IL,MO) — this page ↗
Sources
Note · Aug 13, 2014 – Aug 15, 2014

Address moved from St. Louis, MO to Ottawa, IL — CENTRUE FINANCIAL CORP

The people listed on the Aug 13, 2014 filing give St. Louis, MO; on the Aug 15, 2014 filing they give Ottawa, IL.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Aug 13, 2014 ↗Form D/A · Aug 15, 2014 ↗CENTRUE FINANCIAL CORP — PartnerFacts page ↗
Sources
Note · Aug 13, 2014 – Apr 14, 2015

Mark L. Smith is listed with 2 different address states: MO, IL

MO on 1 filing (Aug 13, 2014); IL on 2 filings (Aug 15, 2014 to Apr 14, 2015).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Aug 13, 2014 ↗Form D/A · Aug 15, 2014 ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

1 of 1 offering reports sales commissions totalling $4,826,150; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 14, 2015 D/A
CENTRUE FINANCIAL CORP
File 021-222869
$4,826,150$0$0William Ernest Burgess III BrokerCheck CRD 3107802 ↗
via Sandler, O'Neill & Partners, L.P. (CRD 23328 ↗)

Charles R. Crowley BrokerCheck CRD 2033050 ↗
via Boenning & Scattergood, Inc. (CRD 100 ↗)
EDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Mark L. Smith on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

CF
Commercial Banking

CENTRUE FINANCIAL CORP

Ottawa, IL · Aug 13, 2014 → Apr 14, 2015 · 3 filings
  • Apr 14, 2015 · D/A · $76,000,000 sold of $76,000,000 · 72 investors · min. $20,000 · role: Director EDGAR ↗
  • Aug 15, 2014 · D/A · $0 sold of $76,000,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 13, 2014 · D · $0 sold of $76,000,000 · 0 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $76M from 72 investors (100% of the $76M target) as of the latest filing. Mark is listed as director on 3 filings for this deal.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Commercial Banking / 506(b) (624 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Other pages with the same name (20)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Mark Smith — MA, 11 issuers, Dec 29, 2015 → Apr 29, 2025 · no shared issuer
  • Mark A Smith — NY, CO, British Columbia, Canada (as filed: A1), Ontario, Canada (as filed: A6), IN, 10 issuers, Mar 20, 2009 → Nov 14, 2024 · no shared issuer
  • Mark Smith — NY, FL, Alberta, Canada (as filed: A0), 10 issuers, Jul 16, 2015 → May 3, 2024 · no shared issuer
  • MARK EDWARD SMITH — MA, 8 issuers, Mar 3, 2010 → Dec 8, 2011 · no shared issuer
  • Mark Smith — SC, 6 issuers, Sep 10, 2010 → Feb 9, 2017 · no shared issuer
  • Mark Smith — TX, 4 issuers, Oct 22, 2009 → Nov 12, 2021 · no shared issuer
  • Mark Smith — CA, 3 issuers, May 14, 2010 → Nov 21, 2023 · no shared issuer
  • Mark C. Smith — NY, 3 issuers, Dec 15, 2017 → Oct 26, 2018 · no shared issuer
  • Mark V. Smith — GA, 2 issuers, Nov 10, 2010 → Jun 7, 2018 · no shared issuer
  • Mark Smith — CT, 2 issuers, Feb 10, 2011 → Sep 13, 2023 · no shared issuer
  • MARK SMITH — AK, 2 issuers, May 16, 2013 → Jan 27, 2023 · no shared issuer
  • Mark L. Smith — CO, 2 issuers, Jun 17, 2009 → Dec 15, 2022 · no shared issuer
  • MARK D. SMITH — NY, 2 issuers, Aug 4, 2016 → Jul 10, 2020 · no shared issuer
  • Mark Robert Smith — MT, 1 issuer, Aug 21, 2025 → Oct 14, 2025 · no shared issuer
  • Mark B Smith — TN, 1 issuer, Feb 19, 2021 → Oct 10, 2025 · no shared issuer
  • Mark Smith — PA, 1 issuer, Jan 30, 2015 → Jul 31, 2015 · no shared issuer
  • Mark Smith — Australia (as filed: C3), 1 issuer, Sep 24, 2009 → Sep 24, 2009 · no shared issuer
  • Mark A. Smith — CA, 1 issuer, Aug 22, 2017 → Jan 31, 2020 · no shared issuer
  • Mark Smith — OK, 1 issuer, May 5, 2010 → May 5, 2010 · no shared issuer
  • Mark Smith — MI, 1 issuer, Aug 17, 2012 → Aug 17, 2012 · no shared issuer

People around Mark 9

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

Daniel Kadolph

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

RG
No photo found yet (own website and image search run after this page is viewed)
Person

Randall Ganim

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

WB
No photo found yet (own website and image search run after this page is viewed)
Person

Walter E. Breipohl

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

JS
No photo found yet (own website and image search run after this page is viewed)
Person

John A. Shinkle

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

SS
No photo found yet (own website and image search run after this page is viewed)
Person

Scott C. Sullivan

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

KS
No photo found yet (own website and image search run after this page is viewed)
Person

Kurt R. Stevenson

Executive Officer, Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

RP
No photo found yet (own website and image search run after this page is viewed)
Person

Richard C. Peterson

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

DB
No photo found yet (own website and image search run after this page is viewed)
Person

Dennis O. Battles

Director · 3 shared filings (1 issuer)

Listed on the same filings as Mark L. Smith. Their page shows their other deals.

DM
No photo found yet (own website and image search run after this page is viewed)
Person

Dennis McDonnell

Director · 3 shared filings (1 issuer) · also on 4 other issuers

Dennis McDonnell is on 5 issuers in total — a repeat sponsor. Their page lists every one.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); KY (Kentucky Secretary of State — Business Entity Search (sosbes.sos.ky.gov), searched by issuer name, data as of Oct 24, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Mark L. Smith by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark L. Smith is listed on: none on file. No website or social profile named in CENTRUE FINANCIAL CORP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #303,940 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Ottawa, IL). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Cook County Clerk of Court case search ↗Missouri Case.net ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Illinois Secretary of State business search ↗Missouri Secretary of State business search ↗OpenCorporates ↗

Change history

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