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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 2011-01-31
TN RA APPROVED 2008-12-18
  • TX RA
    APPROVED
    Since 2011-01-31
  • TN RA
    APPROVED
    Since 2008-12-18

Branch Locations

7 Sheridan Sq, Kingsport, TN 37660 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Kingsport TN 12/2008 Present
Bank Of America, N.A. Kingsport TN 12/2009 Present
Previous Registrations
Other Businesses

I*2173263, Entity Type: , Name of OBA: MLPF& S CUST FPO J F D IRRA FBO J F D, Address: Kingsport, Tennessee, 37660, Investment Related: N, Position, Title, Association: Power of Attorney, Employee State Date: 31-Jan-2025, No Hours: 4 Monthly, No Hours during Trading: 1 Monthly, Duties:

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-05-12
S63 Uniform Securities Agent State Law Examination 1996-06-27
  • S65 Uniform Investment Adviser Law Examination
    2009-05-12
  • S63 Uniform Securities Agent State Law Examination
    1996-06-27
Other Names
  • J Mark Douglas
  • Mark Douglas
  • J Douglas

View on SEC IAPD

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