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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-07-14
MI RA APPROVED 2016-06-02
  • TX RA
    APPROVED
    Since 2016-07-14
  • MI RA
    APPROVED
    Since 2016-06-02

Branch Locations

777 E Eisenhower Pkwy, Ann Arbor, MI 48108 • 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 Ann Arbor MI 02/2016 Present
Bank Of America, N.A. Ann Arbor MI 05/2016 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-27
S65 Uniform Investment Adviser Law Examination 2000-04-26
S63 Uniform Securities Agent State Law Examination 1998-11-02
  • S66 Uniform Combined State Law Examination
    2016-05-27
  • S65 Uniform Investment Adviser Law Examination
    2000-04-26
  • S63 Uniform Securities Agent State Law Examination
    1998-11-02
Other Names
  • Mark C Fraker

View on SEC IAPD

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