Mark Brian Smalley

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	2016-06-13
NJ	RA	APPROVED	2016-06-06

TX RA
APPROVED_RES

Since 2016-06-13
NJ RA
APPROVED

Since 2016-06-06

Branch Locations

9000 Southside Blvd Ci Client Services, Jacksonville, FL 32256 • United States

1100-1800 American Blvd Ci Relationship Management, Pennington, NJ 08534 • United States

Roselle Park, NJ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	05/2016	Present
Bank Of America, N.A.	Pennington	NJ	05/2016	Present

05/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
05/2016 → Present

Bank Of America, N.A.

Pennington, NJ

Previous Registrations

2014-11-13 → 2015-10-20

Pnc Wealth Management Llc

Hackettstown, NJ

Morristown, NJ

Belvidere, NJ
2010-04-12 → 2014-08-13

Td Ameritrade, Inc.

San Diego, CA

San Diego, CA

Jersey City, NJ

Omaha, NE
2010-04-12 → 2014-08-13

Td Ameritrade Investment Management, Llc

Jersey City, NJ

Omaha, NE
2005-07-12 → 2008-10-20

Charles Schwab & Co., Inc.

Paramus, NJ

Paramus, NJ
2003-08-08 → 2005-05-13

Wells Fargo Clearing Services, Llc

Glen Ridge , NJ

Other Businesses

I*94608 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: UBER / LYFT INVESTMENT RELATED: N ADDRESS OF BUSINESS: 1455 MARKET ST / 2300 HARRISON ST, SAN FRANCISCO, CALIFORNIA 94103 NATURE OF BUSINESS: OTHER, INDEPENDENT CONTRACTOR POSITION, TITLE, ASSOCIATION: PART-TIME, START DATE OF RELATIONSHIP: 10/1/2014 NUMBER OF HOURS DEVOTED: 20 HOUR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: REGISTERED AS A DRIVER FOR UBER AND LYFT RIDESHARING SERVICES. NON-EMPLOYEE. STRICTLY PART-TIME OUTSIDE OF REGULAR BUSINESS HOURS AND LESS THAN 20 HOURS PER MONTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-12-18
S63	Uniform Securities Agent State Law Examination	1998-07-21

S65 Uniform Investment Adviser Law Examination

2002-12-18
S63 Uniform Securities Agent State Law Examination

1998-07-21

View on SEC IAPD