Marcus U Jean-Simon

CRD 4240305 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Northbrook, IL

IA RegisteredBroker

Also appears in the source record as: Marcus Ulrick Jean-Simon; Marcus Jean-Simon

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 7Series 9Series 10Series 65Series 66
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): 21
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 (10)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Northbrook, IL · IA capacity

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

start not retrieved → present
Chase Investment Services Corp.
Woodridge, IL · IA capacity

Sep 21, 2009 → Apr 5, 2010
Chase Investment Services Corp.
Woodridge, IL · BC capacity

Sep 21, 2009 → Apr 5, 2010
Investors Brokerage Services, Inc.
Elgin, IL · BC capacity

Feb 13, 2006 → Apr 11, 2006
Banc One Securities Corporation
Gary, IN · IA capacity

Oct 28, 2003 → Sep 22, 2004
Banc One Securities Corporation
Chicago, IL · BC capacity

Oct 27, 2003 → Sep 22, 2004
American Express Financial Advisors, Inc.
Rosemont, IL · IA capacity

Sep 16, 2003 → Oct 23, 2003
Ids Life Insurance Company
Minneapolis, MN · BC capacity

Aug 26, 2003 → Oct 23, 2003
American Express Financial Advisors Inc.
Minneapolis, MN · BC capacity

Aug 26, 2003 → Oct 23, 2003

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 4240305 ↗ FINRA BrokerCheck record for CRD 4240305 ↗ 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.