Mark Barry Shapiro

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:

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	2013-01-25
NJ	RA	APPROVED	2004-03-10

TX RA
APPROVED_RES

Since 2013-01-25
NJ RA
APPROVED

Since 2004-03-10

Branch Locations

1100-1800 American Blvd Retirement & Personal Wealth Solutions, Pennington, NJ 08534 • 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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	09/1999	Present

09/1999 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Other Businesses

I*: 2129304 Entity Type: Entity Charitable Name of OBA: Princeton Learning Cooperative Address: Langhorne, PA 19047 Investment Related: YES Position, Title, Association: Treasurer,Board Member Employee Start Date: 03/01/2025 No Hours: 40hr/yr No Hours during trading:0 Duties: Treasurer for a non profit home schooling support center. Advice and consent of strategic initiatives. Oversight non-profit status and compliance.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-03-09
S63	Uniform Securities Agent State Law Examination	1995-05-11

S66 Uniform Combined State Law Examination

2004-03-09
S63 Uniform Securities Agent State Law Examination

1995-05-11

Other Names

Mark B Shapiro

View on SEC IAPD