Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Brian Smalley is a financial advisor with over 20 years of experience in the industry. Mark is currently registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated and has been with them since May 2016. Mark has previously worked at PNC Investments, TD Ameritrade, Inc., Northwestern Mutual Investment Services, LLC, Charles Schwab & Co., Inc., Wachovia Securities, LLC, MONY Securities Corporation, MetLife Securities Inc., Metropolitan Life Insurance Company, Schonfeld Securities, LLC, RBC Dain Rauscher Inc., and TD Waterhouse Investor Services, Inc. Mark holds multiple licenses including Series 7, 9, 10, 55, 57TO, 63, and 65. Mark is registered in multiple states and has been providing financial advice to a variety of clients, including individuals, high-net-worth individuals, corporations, pension and profit sharing plans, and insurance companies. Mark provides a wide range of services, including portfolio management, financial planning, performance measurement reports, allocation modeling, investment policy statements, research reports, and services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
06/13/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NJ
11/12/2014 - 10/20/2015
PNC INVESTMENTS (BELVIDERE NJ)
NJ
03/15/2010 - 08/13/2014
TD AMERITRADE, INC. (JERSEY CITY NJ)
NJ
06/16/2009 - 11/12/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (SUMMIT NJ)
NJ
06/08/2005 - 10/20/2008
CHARLES SCHWAB & CO., INC. (PARAMUS NJ)
MO
08/08/2003 - 05/13/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/18/2003 - 06/05/2003
MONY SECURITIES CORPORATION (NEW YORK NY)
MA
09/26/2002 - 02/14/2003
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
09/26/2002 - 02/14/2003
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
NY
02/27/2002 - 09/18/2002
SCHONFELD SECURITIES, LLC (JERICHO NY)
NY
04/03/2000 - 11/20/2001
RBC DAIN RAUSCHER INC. (NEW YORK NY)
NE
09/16/1998 - 03/31/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
IA
Issued 12/18/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 7/29/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 7/29/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/4/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 8/18/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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