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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

MARK RICHARD MALLER

Advisor at WELLS FARGO ADVISORS

PALM BEACH GARDENS, FL | PALM BEACH, FL | JUPITER, FL

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Search this name across graphsid dfx:ria:978a2de3-37ab-3725-3484-e724bfb5c218

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Apr 17, 2001 to Sep 14, 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: WELLS FARGO ADVISORS
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: Apr 17, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Jul 11, 2001
First registration: Apr 17, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1629722

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
WELLS FARGO ADVISORS	Wirehouse	Nov 3, 2015	n/a	yes	JUPITER, FL\|PALM BEACH, FL\|PALM BEACH GARDENS, FL	Current employment
TD PRIVATE CLIENT WEALTH LLC	Bd affiliated wealth	May 29, 2013	Jul 27, 2015	no	FT. LAUDERDALE, FL\|CORAL GABLES, FL\|FT. LAUDERDALE, FL	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Jan 14, 2010	May 16, 2013	no	BOCA RATON, FL\|MIAMI, FL\|MIAMI, FL\|MIAMI, FL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Oct 23, 2009	Dec 17, 2009	no	FORT LAUDERDALE, FL	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Apr 17, 2001	Oct 23, 2009	no	FT. LAUDERDALE, FL\|FORT LAUDERDALE, FL	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
TD PRIVATE CLIENT WEALTH LLC	WELLS FARGO ADVISORS	Jul 27, 2015	Nov 3, 2015	99	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	TD PRIVATE CLIENT WEALTH LLC	May 16, 2013	May 29, 2013	13	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Dec 17, 2009	Jan 14, 2010	28	Firm change	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ WELLS FARGO ADVISORSRegistered adviserregistration: current employment
Nov 3, 2015 to presentfactForm ADV
→ TD PRIVATE CLIENT WEALTH LLCRegistered adviserregistration: previous registration
May 29, 2013 to Jul 27, 2015factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Jan 14, 2010 to May 16, 2013factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Oct 23, 2009 to Dec 17, 2009factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Apr 17, 2001 to Oct 23, 2009factForm ADV

Dated events

No dated event names this entity yet.