Mark Steven Harris

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2021-05-19
CO	RA	APPROVED	2021-05-07
WA	RA	APPROVED	2016-10-11
TX	RA	APPROVED	2016-10-07

CA RA
APPROVED

Since 2021-05-19
CO RA
APPROVED

Since 2021-05-07
WA RA
APPROVED

Since 2016-10-11
TX RA
APPROVED

Since 2016-10-07

Branch Locations

Scottsdale, AZ • United States

Telluride, CO • United States

14636 N Scottsdale Rd Pbig- Scottsdale, Az Pwm, Scottsdale, AZ 85254 • 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

Organization	City	State	From	To
Morgan Stanley Smith Barney	Bellevue	WA	06/2009	10/2016
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	10/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bellevue	WA	10/2016	Present
Bank Of America, N.A.	Bellevue	WA	10/2016	Present

06/2009 → 10/2016

Morgan Stanley Smith Barney

Bellevue, WA
01/2015 → 10/2016

Morgan Stanley Private Bank, National Association

New York, NY
10/2016 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bellevue, WA
10/2016 → Present

Bank Of America, N.A.

Bellevue, WA

Previous Registrations

2009-06-01 → 2016-10-21

Morgan Stanley

Bellevue, WA

Scottsdale, AZ
1999-01-11 → 2009-06-01

Citigroup Global Markets Inc.

Bellevue, WA

Bellevue, WA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-03-10
S63	Uniform Securities Agent State Law Examination	1981-01-13

S65 Uniform Investment Adviser Law Examination

1994-03-10
S63 Uniform Securities Agent State Law Examination

1981-01-13