AdFi
JM

John Mark Douglas

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Kingsport, TNCRD #1371759Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
34 yrs
States Registered
29 states
Exams Passed
10

Registrations & licenses

Registration type
Dual-registered
Registered in 29 states
AlabamaArizonaCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaIllinoisKentuckyLouisianaMarylandMassachusettsMichiganMississippiMissouriNew MexicoNew YorkNorth CarolinaNorth DakotaOhioPennsylvaniaSouth CarolinaTennesseeTexasVirginiaWashingtonWest Virginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/12/2009
Series 63
Uniform Securities Agent State Law Examination
Passed 6/27/1996
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 2/1/2000
Series 31
Futures Managed Funds Examination
Passed 5/14/1999
Series 7
General Securities Representative Examination
Passed 6/11/1996
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 5/16/1985
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 7/23/1999

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Merrill Lynch, Pierce, Fenner & Smith Incorporated Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
12/18/2008Kingsport, TN
UBS FINANCIAL SERVICES INC.
1/13/200412/24/2008Kingport, TN

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Mark Douglas has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

John Mark Douglas - Financial Advisor in Kingsport, TN | AdvisorFinder