Mark David Newcomb

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

• 08/2015 → 02/2022
  Principal Life Insurance Co
  Phoenix, AZ
• 08/2015 → 02/2022
  Princor Financial Services
  Phoenix, AZ
• 02/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Scottsdale, AZ

Previous Registrations

• 2015-08-27 → 2022-04-06
  Principal Securities, Inc.
  Phoenix, AZ
• 2012-11-23 → 2015-08-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Phoenix, AZ
  Glendale, AZ
  Sun City, AZ
  Glendale, AZ

Other Businesses

I*3650302 Entity Type: Fiduciary role Name of OBA: Newcomb 5 Family Trust Address: Glendale, Arizona, 85308 Investment Related: No Position, Title, Association: Co-Trustee Employee Start Date: 03/01/2026 Number of Hours: 1, Yearly Number of Hours during trading: 0 Duties: Co-Trustee/Child/Grandchild, Spouse I*3988266 Entity Type: Fiduciary role Name of OBA: The Newcomb Family Trust Address: Glendale, Arizona, 85308 Investment Related: No Position, Title, Association: Successor Trustee Employee Start Date: 03/02/2015 Number of Hours: 2, Yearly Number of Hours during trading: 0 Duties: Successor Trustee/ Child/Grandchild

Exams

• S66 Uniform Combined State Law Examination
  2012-11-21
• S63 Uniform Securities Agent State Law Examination
  2010-07-26

Other Names

• Mark David Newcomb
• Mark David Newcomb
• Mark Newcomb