Mark Mattingly
Mark Mattingly is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Walnut Creek, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
1331 N California Blvd, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2013Customer Dispute
March 2003Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
A. G. Edwards & Sons, INC.Broker
Bear, Stearns & CO. INC.Broker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.