Mark Brian Smalley

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration

Active

Investment adviser registration

Active

Exams passed (8)

Series 57TOSIESeries 55Series 7Series 10Series 9Series 65Series 63

Registered states (53)

Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming

Years in the industry (source record)

25

Professional designations

Not yet retrieved from the source record

Disclosures

Copied from the official record

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 (17)

From the source registration record · current first

• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Pennington, NJ · IA capacity
  start not retrieved → present
• Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent

  Pennington, NJ · BC capacity
  start not retrieved → present
• Pnc Investments

  Belvidere, NJ · IA capacity
  Nov 13, 2014 → Oct 20, 2015
• Pnc Investments

  Belvidere, NJ · BC capacity
  Nov 12, 2014 → Oct 20, 2015
• Td Ameritrade, Inc.

  Jersey City, NJ · IA capacity
  Apr 12, 2010 → Aug 13, 2014
• Amerivest Investment Management, LLC

  Jersey City, NJ · IA capacity
  Apr 12, 2010 → Aug 13, 2014
• Td Ameritrade, Inc.

  Jersey City, NJ · BC capacity
  Mar 15, 2010 → Aug 13, 2014
• Northwestern Mutual Investment Services, LLC

  Summit, NJ · BC capacity
  Jun 16, 2009 → Nov 12, 2009
• Charles Schwab & Co., Inc.

  Paramus, NJ · IA capacity
  Jul 12, 2005 → Oct 20, 2008
• Charles Schwab & Co., Inc.

  Paramus, NJ · BC capacity
  Jun 8, 2005 → Oct 20, 2008
• Wachovia Securities, LLC

  Glen Ridge, NJ · IA capacity
  Aug 8, 2003 → May 13, 2005
• Wachovia Securities, LLC

  St. Louis, MO · BC capacity
  Aug 8, 2003 → May 13, 2005
• Mony Securities Corporation

  New York, NY · BC capacity
  Feb 18, 2003 → Jun 5, 2003
• Metropolitan Life Insurance Company

  New York, NY · BC capacity
  Sep 26, 2002 → Feb 14, 2003
• Metlife Securities Inc.

  Springfield, MA · BC capacity
  Sep 26, 2002 → Feb 14, 2003
• Schonfeld Securities, LLC

  Jericho, NY · BC capacity
  Feb 27, 2002 → Sep 18, 2002
• Rbc Dain Rauscher Inc.

  New York, NY · BC capacity
  Apr 3, 2000 → Nov 20, 2001

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.