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Mark Wormuth

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Scranton, PA

Providence, RI

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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 2024-09-20
PA RA APPROVED 2024-09-09
RI RA APPROVED 2024-08-23
  • TX RA
    APPROVED
    Since 2024-09-20
  • PA RA
    APPROVED
    Since 2024-09-09
  • RI RA
    APPROVED
    Since 2024-08-23

Branch Locations

417 Lackawanna Ave, Scranton, PA 18503 • United States

1 Financial Plaza, Providence, RI 02903 • 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
Morgan Stanley Smith Barney Llc Purchase NY 07/2016 07/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Providence RI 08/2024 Present
Bank Of America, N.A. Providence RI 08/2024 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-02-21
  • S66 Uniform Combined State Law Examination
    2014-02-21
Other Names
  • Mark William Wormuth

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · SCRANTON, PA
LPL FINANCIAL LLC · SCRANTON, PA
PNC WEALTH MANAGEMENT LLC · SCRANTON, PA
J.P. MORGAN SECURITIES LLC · Scranton, PA
LPL FINANCIAL LLC · SCRANTON, PA
CAPITAL WEALTH INVESTMENTS · SCRANTON, PA
COMMONWEALTH FINANCIAL NETWORK · Scranton, PA
MORGAN STANLEY · Scranton, PA

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