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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_RES 2012-10-23
CA RA APPROVED 2012-10-19
  • TX RA
    APPROVED_RES
    Since 2012-10-23
  • CA RA
    APPROVED
    Since 2012-10-19

Branch Locations

9595 Wilshire Blvd Pbig - Beverly Hills, Beverly Hills, CA 90212 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Beverly Hills CA 10/2012 Present
Bank Of America, N.A. Beverly Hills CA 10/2012 Present
Previous Registrations
Other Businesses

I*137172 For profit or not for profit: For-Profit Organization Name of outside business organization: Mark Varo Investment related: N Address of business: Santa monica, California 90402 Nature of business: Other Position, title, association: Other, there is no specific positon held Start date of relationship: 4/9/2021 Number of hours devoted: 5 hour(s) Annually Number of hours devoted during trading hours: 0 Duties: commercial actor with my family

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-04-02
  • S63 Uniform Securities Agent State Law Examination
    1993-04-02

View on SEC IAPD

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