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Mark T Soltys

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

Riverside, RICRD #5313711Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
19 yrs
States Registered
1 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Rhode Island
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 10/31/2014
Series 63
Uniform Securities Agent State Law Examination
Passed 6/8/2007
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 9/18/2008
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 4/21/2007
Series 24
General Securities Principal Examination
Passed 12/22/2016
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 2/6/2015
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 12/18/2014

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
11/3/2014Riverside, RI
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCurrent
10/23/2009Cranston, RI
BANC OF AMERICA INVESTMENT SERVICES, INC.
1/16/200810/23/2009Lincoln, RI
COLUMBIA MANAGEMENT DISTRIBUTORS, INC.
4/23/20071/16/2008Boston, MA

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 T Soltys 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.

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