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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-03-19
IL RA APPROVED 1998-04-12
TX RA APPROVED_RES 1988-11-18
  • FL RA
    APPROVED
    Since 2021-03-19
  • IL RA
    APPROVED
    Since 1998-04-12
  • TX RA
    APPROVED_RES
    Since 1988-11-18

Branch Locations

9128 Strada Pl, Naples, FL 34108 • 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 Chicago IL 02/1986 Present
Bank Of America, N.A. Chicago IL 06/2011 Present
Other Businesses

I*20063FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THORNDYKE FAMILY FARMS, LLCINVESTMENT RELATED: NADDRESS OF BUSINESS:LOMBARD, IL 60148BARRINGTON, ILLINOIS 60010NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/1/2010NUMBER OF HOURS DEVOTED: 10 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 10DUTIES: OTHERI*73823FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THORNDYKE FAMILY FUTURES LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:BARRINGTON, ILLINOIS 60010NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 1/1/2014NUMBER OF HOURS DEVOTED: 5 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: INVESTMENT IN FARMLAND - SIMILAR TO THORNDYKE FAMILY FARMS LLC. CREATED NEW LLC FOR BETTER ASSET PROTECTIONI*86573For profit or not for profit: For-Profit OrganizationName of outside business organization: Marsu LLCInvestment related: NAddress of business:Lake Barrington, Illinois 60010Nature of business: LLC,Position, title, association: Other, ManagerStart date of relationship: 9/14/2015Number of hours devoted: 1 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: Established LLC for estate planning purposesI*88368FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: THORDON FARMS LLCINVESTMENT RELATED: YADDRESS OF BUSINESS:BARRINGTON, ILLINOIS 60010NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: OTHER, MANAGER OF THE LLCSTART DATE OF RELATIONSHIP: 11/17/2015NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 1DUTIES: INVESTMENT IN FARMLAND - SIMILAR TO THORNDYKE FAMILY FARMS LLC. CREATED NEW LLC FOR ESTATE PLANNING SERVICESI*120246For profit or not for profit: For-Profit OrganizationName of outside business organization: RET Property Enterprises LLCInvestment related: YAddress of business:Barrington, Illinois 60010Nature of business: LLC,Position, title, association: Fiduciary, Start date of relationship: 12/20/2018Number of hours devoted: 2 hour(s) MonthlyNumber of hours devoted during trading hours: 1Duties: Investment in farmland - set up for estate planning purposesI*2215257, Entity Type Entity For Profit, Name of OBA: T Enterprises, LLC Address: NaplesFlorida34102 Investment Related: Yes Position, Title, Association: General Partner/Managing Member Employee Start Date: 02/23/2025 No Hours: 3 monthly No Hours during trading: 1 Duties: This entity is part of my estate plan which is also related to the farmland that I own as a investment. I*2219279, Entity Type: Entity For Profit, Name of OBA: Sparks Fly, LLC, Address: Naples, Florida, 34102, Investment Related: N, Position, Title, Association: General Partner/Managing Member, Employee State Date: 03/28/2022, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: This is an LLC that my attorney set up to hold our boat in Florida in for liability purposes.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-05-20
S63 Uniform Securities Agent State Law Examination 1986-05-21
  • S65 Uniform Investment Adviser Law Examination
    1993-05-20
  • S63 Uniform Securities Agent State Law Examination
    1986-05-21
Other Names
  • Mark William Thorndyke

View on SEC IAPD

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