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Brian ROGER Marks
CRD#: 4900885
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 5910 N CENTRAL EXPY
DALLAS, TX 75206
Registration History
200620082010201220142016201820202022202420262 FIRMS2005 - Present (19 years)
License(s)

State Registrations

B
Alabama 10/14/2019

B
Missouri 10/19/2010

B
Arizona 10/14/2019

B
Montana 2/19/2016

B
California 1/26/2007

B
Nevada 1/14/2016

B
Colorado 2/23/2010

B
New Jersey 10/25/2019

B
Delaware 5/11/2021

B
New Mexico 8/3/2005

B
Florida 11/13/2008

B
New York 7/15/2009

B
Georgia 11/27/2019

B
North Carolina 10/16/2009

B
Hawaii 1/5/2010

B
Oklahoma 2/12/2018

B
Idaho 4/10/2018

B
Oregon 4/26/2024

B
Illinois 10/14/2019

B
Pennsylvania 10/14/2019

B
Indiana 10/29/2019

B
Texas 4/5/2005

B
Kentucky 2/2/2021

IA
Texas 4/5/2005

B
Louisiana 1/4/2006

B
Utah 6/28/2023

B
Maine 7/3/2023

B
Virginia 2/25/2016

B
Minnesota 8/1/2019

B
Washington 3/28/2024

B
Mississippi 10/31/2017

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)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 4/5/2005

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
5910 N CENTRAL EXPY, DALLAS, TX 75206
Registered with this firm since 3/9/2005

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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.