Mark Smalley
Mark Smalley is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Lincoln, RI, with 25 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
670 George Washington Hwy, Ci Relationship Management, Lincoln, RI, 02865
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Regulatory History (1)
Customer Dispute
November 2008Other Business Activities
Mark is a part-time driver for Uber and Lyft ridesharing services since 2014. This takes about 10-20% of his time and is outside of regular business hours.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
PNC Investments
PNC InvestmentsBroker
Amerivest Investment Management, LLC
TD Ameritrade, INC.
TD Ameritrade, INC.Broker
Northwestern Mutual Investment Services, LLCBroker
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Mony Securities CorporationBroker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Schonfeld Securities, LLCBroker
RBC Dain Rauscher INC.Broker
TD Waterhouse Investor Services, 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.