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MARC ALEXANDER MAROTTA
MARC MAROTTA
CRD#: 5948615
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 100 FEDERAL ST
PBIG - BOSTON PRIVATE WEALTH CTR
BOSTON, MA 02110
Registration History
201220142016201820202022202420262 FIRMS2017 - Present (7 years)BPUTNAM RETAIL MANAGEMENT LIMIT... (CRD# 7325)2011 - 2017 (5 years)IAPUTNAM INVESTMENT MANAGEMENT, LLC (CRD# 106629)2015 - 2017 (1 year)
License(s)

State Registrations

B
Arizona 10/1/2020

B
Nevada 5/17/2021

B
California 5/15/2017

B
New Hampshire 4/4/2017

B
Colorado 7/31/2017

B
New Jersey 5/4/2017

B
Connecticut 3/30/2017

B
New Mexico 7/1/2024

IA
Connecticut 3/30/2017

B
New York 5/4/2017

B
Delaware 10/1/2020

B
North Carolina 10/11/2018

B
District of Columbia 8/30/2018

B
Ohio 7/19/2019

B
Florida 4/4/2017

B
Oregon 10/1/2020

B
Georgia 10/1/2020

B
Pennsylvania 6/17/2020

B
Hawaii 10/1/2020

B
Rhode Island 10/1/2020

B
Idaho 10/1/2020

B
South Carolina 11/8/2018

B
Illinois 2/27/2018

B
South Dakota 4/21/2022

B
Indiana 5/17/2021

B
Tennessee 10/1/2020

B
Iowa 10/1/2020

B
Texas 3/19/2019

B
Louisiana 1/2/2023

IA
Texas 3/20/2019

B
Maine 9/5/2018

B
Utah 10/1/2020

B
Maryland 3/25/2019

B
Vermont 3/11/2019

B
Massachusetts 3/30/2017

B
Virgin Islands 7/3/2023

B
Michigan 10/1/2020

B
Virginia 3/19/2019

B
Minnesota 10/1/2020

B
Washington 10/17/2019

B
Missouri 10/1/2020

B
Wisconsin 10/30/2019

B
Montana 10/1/2020

B
Wyoming 10/1/2020

B
Nebraska 8/10/2023

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

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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)
100 FEDERAL ST PBIG - BOSTON PRIVATE WEALTH CTR, BOSTON, MA 02110
Registered with this firm since 3/30/2017

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
100 FEDERAL ST PBIG - BOSTON PRIVATE WEALTH CTR, BOSTON, MA 02110
Registered with this firm since 3/30/2017

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/19/2015 - 03/23/2017 PUTNAM INVESTMENT MANAGEMENT, LLC (CRD#:106629) Andover, MA
B
07/26/2011 - 03/23/2017 PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (CRD#:7325) ANDOVER, MA
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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.