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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
ND RA APPROVED 2001-07-23
TX RA APPROVED_RES 1996-06-19
  • ND RA
    APPROVED
    Since 2001-07-23
  • TX RA
    APPROVED_RES
    Since 1996-06-19

Branch Locations

51 Broadway N, Fargo, ND 58102 • 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 Fargo ND 01/1985 Present
Bank Of America,N.A. Fargo ND 06/2011 Present
Other Businesses

I*80940 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: MARK D JOHNSON INVESTMENT RELATED: NO ADDRESS OF BUSINESS: GWINNER, NORTH DAKOTA 58040 POSITION, TITLE, ASSOCIATION: OWNER START DATE OF RELATIONSHIP: 2/1/1999 NUMBER OF HOURS DEVOTED: 10 HOURS ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENT OUT LAND ON A SHARE CROP AGREEMENT ONE THIRD TO ME TWO THIRDS TO THE FARMER. PAY TAXES,CROP AND HAIL INSURANCE. MARKET GRAIN I*550290 For profit or not for profit: Entity For Profit Name of outside business organization: Mark Johnson Investment related: No Address of business: Roseau, Minnesota, 56751 Position, title, association: General Partner/Managing Member Start date of relationship: 11/30/2021 Number of hours devoted: 2 hours Yearly Number of hours devoted during trading hours: 0 Duties: Rent the land and pay taxes I*: 2481280 Entity Type: Fiduciary role Name of OBA: L. J. Address: Fargo, ND 58104 Investment Related: No Position, Title, Association: Power of Attorney Employee Start Date: 5/21/2025 Number of Hours: 1 hr annually Number of Hours during trading: 1 hr annually Duties: Power of Attorney for son

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-06-10
S63 Uniform Securities Agent State Law Examination 1985-04-12
  • S65 Uniform Investment Adviser Law Examination
    1993-06-10
  • S63 Uniform Securities Agent State Law Examination
    1985-04-12
Other Names
  • Mark Douglas Johnson
  • Mark Johnson

View on SEC IAPD

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