Mark Andrew Brookfield

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2006-10-19
CT	RA	APPROVED	2004-06-07

TX RA
APPROVED_RES

Since 2006-10-19
CT RA
APPROVED

Since 2004-06-07

Branch Locations

2 Pickwick Plz Pbig - Greenwich, Greenwich, CT 06830 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Greenwich	CT	05/2004	Present
Bank Of America, Na	Greenwich	CT	09/2009	Present

05/2004 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT
09/2009 → Present

Bank Of America, Na

Greenwich, CT

Other Businesses

I*973338, Name of OBA: Rental Property 1 Address: Riviera Beach, FL Investment Related: No Position, Title, Association: Co-owner with other family members Employee Start Date: 9/17/2022 No Hours: 0 Yearly No Hours during trading: 0 Duties:I"1048405",Name of OBA: ACTS 16:34 LLC,Address: Riviera Beach, Florida,Investment Related: N,Position, Title: ["General Partner/Managing Member"],Employee Start Date: 10/31/2022,No Hours: 0, YearlyNo Hours: during trading: 0Duties: Personal condo owned within an LLC that will be rented out from time to time. My wife is going to be coordinating this and I will not be doing this within business hours.I*1924280Entity Type: N/AName of OBA: A.P.Address: Granby, Connecticut, 06035Investment Related: NoPosition, Title, Association: Executor, Successor TrusteeEmployee Start Date: 08/01/2024No Hours: 0No Hours during trading: 0Duties: I*3536295 Entity Type: Entity Charitable Name of OBA: New Canaan Young Life Address: New Canaan, Connecticut Investment Related: No Position, Title, Association: Board Member Employee Start Date: 01/27/2026 Number of Hours: 5, Monthly Number of Hours during trading: 0, Monthly Duties: Young Life is a Christian youth ministry that serves middle school, high school and college students across the US and in 100+ countries outside the US. It is a grass roots organization that has local committees, including the New Canaan, CT committee that I have been asked to join. Committee (board) member. I have been asked to volunteer my time (will not affect work hours) to support the local YL ministry in New Canaan.