Mark A Ugartechea
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
11 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
11 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 2021 to now
- Chicagoland Construction and RestorationMar 2020 to Oct 2021
- Newbridge Securities CorporationOct 2019 to Feb 2020
- Panera BreadFeb 2019 to Dec 2019
- National Securities CorpNov 2018 to Mar 2019
- TargetNov 2018 to Jan 2019
- National Securities CorpMay 2018 to Oct 2018
- Aisha Holding CorporationApr 2018 to May 2018
- Aegis Capital CorpOct 2016 to Jun 2017
- Florida Intl UniversityAug 2015 to Apr 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2021
- Series 65 · Uniform Investment Adviser Law2021
State registrations
Registered as an investment adviser representative in 2 states (FL, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6497485
- Firm CRD
- 7691