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RIA / WealthAdvisordual registered (broker-dealer)37 years in industry

Mark Joseph Minnium

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MEDFORD LAKES, NJ | PENNINGTON, NJ

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Search this name across graphsid dfx:ria:1d40b77f-977b-2145-7009-98b1512878cd

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jun 6, 2002 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 7, 1989earliest registration or exam on IAPD
Years in industry: 37derivedfrom the industry start date
Years at current firm: 8derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Mar 7, 1989
First registration: Jun 6, 2002
Dual registered: yes, broker-dealer
Other names: MARK JOSEPH MINNIUM|Mark Minnium
IAPD individual key: 1866860

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 26, 2018	n/a	yes	PENNINGTON, NJ\|MEDFORD LAKES, NJ	Current employment
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Aug 17, 2016	Dec 27, 2016	no	SAN DIEGO, CA\|Vineland, NJ	Previous registration
PNC WEALTH MANAGEMENT	Bd affiliated wealth	Jul 19, 2011	Apr 12, 2016	no	NARBERTH, PA\|GLADWYNE, PA\|HADDONFIELD, NJ\|CHERRY HILL, NJ\|VOORHEES, NJ\|WILMINGTON, DE\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA\|PHILADELPHIA, PA	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Jun 6, 2002	Feb 15, 2011	no	Philadelphia, PA\|MOORESTOWN, NJ\|Marlton, NJ	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SORRENTO PACIFIC FINANCIAL, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Dec 27, 2016	Mar 26, 2018	454	Firm change after gap	Other
PNC WEALTH MANAGEMENT	SORRENTO PACIFIC FINANCIAL, LLC	Apr 12, 2016	Aug 17, 2016	127	Firm change	Other
CHARLES SCHWAB & CO., INC.	PNC WEALTH MANAGEMENT	Feb 15, 2011	Jul 19, 2011	154	Firm change	Other

Relationships

Registered with (4)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Mar 26, 2018 to presentfactForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Aug 17, 2016 to Dec 27, 2016factForm ADV
→ PNC WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Jul 19, 2011 to Apr 12, 2016factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Jun 6, 2002 to Feb 15, 2011factForm ADV

Dated events

No dated event names this entity yet.