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Mark Wormuth

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

Providence, RICRD #6280577Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
12 yrs
States Registered
42 states
Exams Passed
5

Registrations & licenses

Registration type
Dual-registered
Registered in 42 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyMaineMarylandMassachusettsMichiganMinnesotaMississippiNebraskaNevadaNew HampshireNew JerseyNew YorkNorth CarolinaOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaTennesseeTexasUtahVermontVirginiaWashingtonWisconsin
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 2/21/2014
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/22/2014
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 3/2/2024
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 11/29/2023

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
8/23/2024Providence, RI
MORGAN STANLEY
8/9/20168/16/2024Purchase, NY
ALLIANCEBERNSTEIN L.P.
2/26/20146/14/2016New 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 Wormuth 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 Wormuth - Financial Advisor in Providence, RI | AdvisorFinder