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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-11-17
TX RA APPROVED 2021-11-16
  • FL RA
    APPROVED
    Since 2021-11-17
  • TX RA
    APPROVED
    Since 2021-11-16

Branch Locations

401 E Las Olas Blvd, Fort Lauderdale, FL 33301 • 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
Aegis Capital Corp Boca Raton FL 10/2016 06/2017
Florida Intl University Miami FL 08/2015 04/2018
National Securities Corp Miami FL 05/2018 10/2018
National Securities Corp Miami FL 11/2018 03/2019
Newbridge Securities Corporation Boca Raton FL 10/2019 02/2020
Panera Bread Davie FL 02/2019 12/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Fort Lauderdale FL 10/2021 Present
Chicagoland Construction And Restoration Chicago IL 03/2020 10/2021
Aisha Holding Corporation Miami FL 04/2018 05/2018
Target Davie FL 11/2018 01/2019
  • 10/2016 → 06/2017
    Aegis Capital Corp
    Boca Raton, FL
  • 08/2015 → 04/2018
    Florida Intl University
    Miami, FL
  • 05/2018 → 10/2018
    National Securities Corp
    Miami, FL
  • 11/2018 → 03/2019
    National Securities Corp
    Miami, FL
  • 10/2019 → 02/2020
    Newbridge Securities Corporation
    Boca Raton, FL
  • 02/2019 → 12/2019
    Panera Bread
    Davie, FL
  • 10/2021 → Present
    Fort Lauderdale, FL
  • 03/2020 → 10/2021
    Chicagoland Construction And Restoration
    Chicago, IL
  • 04/2018 → 05/2018
    Aisha Holding Corporation
    Miami, FL
  • 11/2018 → 01/2019
    Target
    Davie, FL
Other Businesses

I* 1680294For profit or not for profit: Entity For Profit Name of outside business organization: Supreme Shop Store Investment related: No Address of business: Davie, FL, 33328 Position, title, association: Officer, Owner Start date of relationship: 01/22/2024 Number of hours devoted: 5 weekly Number of hours devoted during trading hours: 0 Duties: Order fulfillment and marketing of the online store.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-04-08
S63 Uniform Securities Agent State Law Examination 2021-03-19
  • S65 Uniform Investment Adviser Law Examination
    2021-04-08
  • S63 Uniform Securities Agent State Law Examination
    2021-03-19
Other Names
  • Mark Anthony Ugartechea
  • Mark A Ugartechea

View on SEC IAPD

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