Mark Caubo

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2019 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Mill Valley, CA
• 01/2018 → 08/2019
  Graton Resort & Casino
  Rohnert Park, CA
• 07/2017 → 01/2018
  Home Depot
  Rohnert Park, CA
• 02/2017 → 07/2017
  Migrated To Usa
  Rohnert Park, CA
• 01/2014 → 02/2017
  Spark Digital
  Auckland
• 07/2024 → Present
  Bank Of America, N.A.
  Mill Valley, CA

Other Businesses

I*: 2070281Entity Type: Rental Property Name of OBA: Rental Property 1Address: Redding, CA 96003Investment Related: NoPosition, Title, Association: Co-owner with other family membersEmployee Start Date: 09/20/2023Number of Hours: 60 hrs annuallyNumber of Hours during trading: 0 Duties:

Exams

• S66 Uniform Combined State Law Examination
  2024-10-18

Other Names

• Mark Christopher Caubo