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Mark Bryan Broderick

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

Cincinnati, OHCRD #2084031Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
36 yrs
States Registered
31 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 31 states
AlabamaArizonaCaliforniaColoradoDelawareDistrict of ColumbiaFloridaGeorgiaIdahoIllinoisIndianaKansasKentuckyLouisianaMaineMassachusettsMichiganMinnesotaMissouriNebraskaNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaSouth CarolinaSouth DakotaTennesseeTexasUtahVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 6/7/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 10/5/1990
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 6/12/2014
Series 7
General Securities Representative Examination
Passed 8/20/1990
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 2/1/1991

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
1/7/1997Cincinnati, OH
PAINEWEBBER INCORPORATED
10/16/199510/26/1995Weehawken, NJ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
8/21/199010/24/1995New York, NY

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. Mark Bryan Broderick 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.

Mark Bryan Broderick - Financial Advisor in Cincinnati, OH | AdvisorFinder