Mark Charles Fraker

CRD 3111793 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Ann Arbor, MI

IA RegisteredBroker

Also appears in the source record as: Mark C Fraker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 66Series 65Series 63SIESeries 7
Registered states (31): Alabama · Arizona · California · Colorado · Florida · Georgia · Hawaii · Illinois · Indiana · Iowa · Kansas · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Montana · Nevada · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 28
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (9)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Ann Arbor, MI · IA capacity

Jun 2, 2016 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Ann Arbor, MI · BC capacity

start not retrieved → present
Charles Schwab & Co., Inc.
IA capacity

Aug 24, 2010 → Jul 11, 2011
Charles Schwab & Co., Inc.
BD capacity

Jun 17, 2004 → Jul 11, 2011
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Apr 13, 2000 → Jun 2, 2004
Financial Network Investment Corporation
BD capacity

Aug 30, 1999 → Mar 16, 2000
Conseco Financial Services, Inc.
BD capacity

May 25, 1999 → Sep 2, 1999
Abn Amro Investment Services, Inc.
BD capacity

Dec 15, 1998 → May 13, 1999
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Sep 22, 1998 → Dec 15, 1998

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.

SEC IAPD record for CRD 3111793 ↗ FINRA BrokerCheck record for CRD 3111793 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.