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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2013-08-01
TX RA APPROVED 2010-07-02
CT RA APPROVED 2009-10-08
  • CA RA
    APPROVED
    Since 2013-08-01
  • TX RA
    APPROVED
    Since 2010-07-02
  • CT RA
    APPROVED
    Since 2009-10-08

Branch Locations

500 Newport Ctr Dr, Newport Beach, CA 92660 • United States

One Bryant Park, New York, NY 10036 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Newport Beach CA 09/2009 Present
Previous Registrations
  • 2002-07-19 → 2009-10-28
    Banc Of America Investment Services, Inc.
    Boston, MA
    Boston, MA
    Dallas, TX
  • 1999-07-07 → 2002-07-08
    Morgan Stanley Dw Inc.
    Houston, TX
Other Businesses

I*129409 For profit or not for profit: For-Profit Organization Name of outside business organization: 210 collins Investment related: N Address of business: newport beach, California 92660 Nature of business: Family Business, Position, title, association: Owner, Start date of relationship: 1/24/2020 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: we bought a second home with a garage apartment. the apartment has a tenant paying rent. I wont have any tasks or ti significant time invested. my wife will interface with the tenant I*846279 For profit or not for profit: Name of outside business organization: Rental Property 1 Investment related: N Address of business: newport beach, California, 92662 Nature of business: Position, title, association: Co-owner with other family members, Start date of relationship: 7/1/2022 Number of hours devoted: 25 hour(s) Yearly Number of hours devoted during trading hours: 0 Duties: ,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-15
S63 Uniform Securities Agent State Law Examination 1989-02-01
  • S65 Uniform Investment Adviser Law Examination
    1999-11-15
  • S63 Uniform Securities Agent State Law Examination
    1989-02-01
Other Names
  • Mark J Benson

View on SEC IAPD

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