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Detailed Report
MARK EDWARD BROWN
CRD#: 1627196
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1331 N CALIFORNIA BLVD
WALNUT CREEK, CA 94596
Registration History
199019952000200520102015202020252 FIRMS2009 - Present (15 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1993 - 2009 (15 years)BLEHMAN BROTHERS INC. (CRD# 7506)1988 - 1993 (5 years)BE. F. HUTTON & COMPANY INC (CRD# 235)1987 - 1988 (1 year)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1997 - 2009 (11 years)
License(s)

State Registrations

B
Alabama 7/12/2024
B
Montana 5/1/2009
B
California 5/1/2009
B
Nevada 5/1/2009
IA
California 5/4/2009
B
New Jersey 11/17/2009
B
Colorado 5/1/2009
B
New York 5/1/2009
B
Connecticut 9/26/2023
B
North Carolina 7/14/2022
B
District of Columbia 5/1/2009
B
Oregon 5/1/2009
B
Florida 1/5/2023
B
Tennessee 1/30/2023
B
Georgia 7/14/2022
B
Texas 5/1/2009
B
Idaho 1/2/2021
IA
Texas 5/7/2009
B
Michigan 5/1/2009
B
Virginia 5/1/2009
B
Minnesota 7/25/2019
B
Washington 8/26/2010

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 5/4/2009
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1331 N CALIFORNIA BLVD, WALNUT CREEK, CA 94596
Registered with this firm since 5/1/2009
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 05/20/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
B
 07/31/1993 - 05/20/2009 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) WALNUT CREEK, CA
B
 04/11/1988 - 07/31/1993 LEHMAN BROTHERS INC. (CRD#:7506) NEW YORK, NY
B
 02/24/1987 - 04/11/1988 E. F. HUTTON & COMPANY INC (CRD#:235)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.