Mark Francis Hales

Current Employers

Employment History

• 01/2016 → 01/2026
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
• 02/2016 → 01/2026
  Bank Of America, N.A.
  Newport Beach, CA
• 01/2026 → Present
  Wells Fargo Clearing Services, Llc
  Newport Beach, CA

Previous Registrations

• 2016-01-07 → 2026-01-16
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Newport Beach, CA
• 2008-08-29 → 2016-01-19
  Ubs Financial Services Inc.
  Irvine, CA
• 1997-07-08 → 2008-09-03
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Laguna Hills, CA
  Irvine, CA

Other Businesses

I*89798 FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: THE HALES GROUP INVESTMENT RELATED: N ADDRESS OF BUSINESS: NEWPORT BEACH, CALIFORNIA 92660 NATURE OF BUSINESS: S-CORP, POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 2/14/2003 NUMBER OF HOURS DEVOTED: 0 HOUR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: THIS IS MY WIFE'S BUSINESS. MY NAME IS ON IT FOR ESTATE PLANNING PURPOSES ONLY. I HAVE THE CAPABILITY TO SIGN CHECKS. I*127972 For profit or not for profit: For-Profit Organization Name of outside business organization: Rumor Investments LLC Investment related: Y Address of business: Newport Beach, California 92661 Nature of business: LLC, Position, title, association: Family Held, Start date of relationship: 12/1/2019 Number of hours devoted: 1 hour(s) Quarterly Number of hours devoted during trading hours: 0 Duties: None USC SIGMA NU FRATERNITY HOUSE; NOT INV RELATED;LOS ANGELES,CA; HOUSING BOARD; BOARD MEMBER; START DATE: 01/14/2026; 2 HRS PER MONTH; 0 HRS DURING TRADING;

Exams

• S66 Uniform Combined State Law Examination
  2007-11-13
• S63 Uniform Securities Agent State Law Examination
  1985-09-16

Other Names

• Mark Francis Hales
• Mark F. Francis Hales