Joshua John Marks

CRD 4003618 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Canton, OH

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 24Series 63
Registered states (37): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Minnesota · Missouri · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oklahoma · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Vermont · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 25
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
Canton, OH · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Canton, OH · BC capacity

start not retrieved → present
Lpl Financial LLC
Canton, OH · IA capacity

Oct 17, 2006 → Sep 2, 2015
Lpl Financial LLC
Canton, OH · BC capacity

Oct 13, 2006 → Sep 2, 2015
Nfp Securities, Inc.
Canton, OH · IA capacity

Jan 27, 2004 → Oct 17, 2006
Nfp Securities, Inc.
Canton, OH · BC capacity

Nov 17, 2003 → Oct 17, 2006
Harbour Investments, Inc.
Madison, WI · BC capacity

Aug 6, 2002 → Dec 15, 2003
Edward Jones
St. Louis, MO · BC capacity

Jul 2, 2001 → Jul 29, 2002
Capital Analysts, Incorporated
Cincinnati, OH · BC capacity

Nov 10, 2000 → Jul 12, 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.

SEC IAPD record for CRD 4003618 ↗ FINRA BrokerCheck record for CRD 4003618 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. 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.