Mark Robert Sutton

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2014 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  San Diego, CA

Other Businesses

I*1338253 For profit or not for profit: Name of outside business organization: San Diego Regional Chamber of Commerce Investment related: N Address of business: San Diego, California, 92101, United States Nature of business: ["Business or Industry Organization"] Position, title, association: ["Board Member"], Start date of relationship: 6/19/2023 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 2 Duties: , Board Responsibilities are listed in the attached document

Exams

• S66 Uniform Combined State Law Examination
  2016-03-10
• S63 Uniform Securities Agent State Law Examination
  2001-03-15