Mark Arnold Theriault

CRD 1888502 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Frisco, TX

IA RegisteredBroker

Also appears in the source record as: Mark A Theriault

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 65Series 63Series 9Series 10Series 8SIESeries 7
Registered states (21): Arizona · California · Colorado · Connecticut · Florida · Georgia · Kansas · Maryland · Michigan · Minnesota · Mississippi · Missouri · New Jersey · New Mexico · New York · North Carolina · South Carolina · Tennessee · Texas · Virginia · Washington
Years in the industry (source record): 37
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1888502 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Frisco, TX · IA capacity

Aug 21, 2015 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Frisco, TX · BC capacity

start not retrieved → present
Wells Fargo Advisors, LLC
BD capacity

Mar 16, 2007 → Aug 25, 2015
Wells Fargo Advisors, LLC
IA capacity

Mar 16, 2007 → Aug 25, 2015
Citigroup Global Markets Inc.
IA capacity

Mar 5, 2002 → Mar 26, 2007
Citigroup Global Markets Inc.
BD capacity

Mar 1, 2002 → Mar 26, 2007
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

May 25, 1990 → Mar 6, 2002
Painewebber Incorporated
BD capacity

Jan 11, 1989 → May 22, 1990

Source & corrections

Where this page comes from

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