AdFi
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Marla Mallula

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

Scottsdale, AZCRD #3239937Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
25 yrs
States Registered
52 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 52 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 3/30/2007
Series 63
Uniform Securities Agent State Law Examination
Passed 8/13/1999
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 7/19/1999

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
9/6/2022Scottsdale, AZ
AMERIPRISE FINANCIAL SERVICES, LLC
4/27/20216/15/2022Gilbert, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
6/1/20163/25/2021Bellevue, WA
D.A. DAVIDSON & CO.
4/7/20118/25/2014Bellevue, WA
MORGAN STANLEY SMITH BARNEY LLC
6/1/20094/19/2011Bellevue, WA
CITIGROUP GLOBAL MARKETS INC.
4/4/20076/1/2009Bellevue, WA

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. Marla Mallula 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.

Marla Mallula - Financial Advisor in Scottsdale, AZ | AdvisorFinder