Mark Robert Phillips

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

• 03/2016 → 03/2018
  Scottrade
  Chicago, IL
• 05/2018 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rolling Meadows, IL
• 09/2019 → Present
  Bank Of America, N.A.
  Rolling Meadows, IL

Previous Registrations

• 2016-10-06 → 2018-03-09
  Scottrade Investment Management
  Saint Louis, MO
• 2007-06-14 → 2014-12-31
  Citigroup Global Markets Inc.
  Bloomingdale, IL
• 2005-08-03 → 2005-10-12
  Ameriprise Financial Services, Llc
  Rosemont, IL

Other Businesses

I*136178 For profit or not for profit: For-Profit Organization Name of outside business organization: Fearless Cleaning Services LLC Investment related: Address of business: Chicago, Illinois 60640 Nature of business: LLC, Compensation for Activity: Position, title, association: Owner, Start date of relationship: 2/4/2021 Number of hours devoted: 0 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: Partial ownership in home and office cleaning business. My wife is the other partial owner.

Exams

• S66 Uniform Combined State Law Examination
  2005-08-02

Other Names

• Mark Robert Phillips
• Mark R Phillips
• Mark Phillips