• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
MARK A HOWARD
CRD#: 4270909
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 3455 PEACHTREE RD NE
ATLANTA, GA 30326
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2004 (1 year)2 FIRMS2004 - 2009 (5 years)2 FIRMS2009 - Present (15 years)BUBS PAINEWEBBER INC. (CRD# 8174)2000 - 2003 (2 years)IAUBS PAINEWEBBER INC. (CRD# 8174)2002 - 2003 (1 year)
Disclosure(s)
View By:
7/18/2012
Customer Dispute
Denied
1/8/2009
Customer Dispute
Denied
7/5/2006
Customer Dispute
Settled
3/19/2004
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 10/23/2009

B
North Carolina 10/18/2021

B
Connecticut 10/23/2009

B
Oregon 7/10/2019

B
Florida 10/23/2009

B
Pennsylvania 4/27/2017

B
Georgia 10/23/2009

B
South Carolina 8/15/2014

IA
Georgia 10/23/2009

B
Tennessee 10/23/2009

B
Illinois 10/23/2009

IA
Texas 10/29/2012

B
Indiana 1/5/2023

B
Texas 1/6/2023

B
Maryland 10/23/2009

B
Virginia 8/11/2016

B
Missouri 7/21/2021

B
Washington 4/1/2016

B
New Mexico 3/15/2023

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

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

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)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Atlanta, GA
Registered with this firm since 10/23/2009

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
3455 PEACHTREE RD NE, ATLANTA, GA 30326
Atlanta, GA
Registered with this firm since 10/23/2009

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DECATUR, GA
B
10/20/2004 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) DECATUR, GA
IA
04/09/2003 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) ALPHARETTA, GA
B
04/09/2003 - 10/20/2004 QUICK & REILLY, INC. (CRD#:11217) NEW YORK, NY
IA
02/08/2002 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) ATLANTA, GA
B
09/18/2000 - 04/16/2003 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.