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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

MARK SCOTT ELLIS

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WESTPORT, CT | PARAMUS, NJ

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Search this name across graphsid dfx:ria:e7eaeaf8-98b4-7144-c9ed-4d11026743a6

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 26, 2002 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: 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: Sep 25, 2002earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 16derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 25, 2002
First registration: Sep 26, 2002
Dual registered: yes, broker-dealer
IAPD individual key: 4559774

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	Oct 23, 2009	n/a	yes	WESTPORT, CT\|PARAMUS, NJ	Current employment
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	Dec 1, 2005	Oct 23, 2009	no	FAIRFIELD, CT\|NEW FAIRFIELD, CT\|FAIRFIELD, CT	Previous registration
WELLS FARGO ADVISORS	Wirehouse	May 17, 2005	Oct 31, 2005	no	DANBURY, CT	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Oct 17, 2003	Dec 6, 2004	no	SHELTON, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 26, 2002	Oct 2, 2003	no	WESTPORT, CT	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
BANC OF AMERICA INVESTMENT SERVICES, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 23, 2009	Oct 23, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	BANC OF AMERICA INVESTMENT SERVICES, INC.	Oct 31, 2005	Dec 1, 2005	31	Firm change	Other
MSI FINANCIAL SERVICES, INC.	WELLS FARGO ADVISORS	Dec 6, 2004	May 17, 2005	162	Firm change	Other
UBS FINANCIAL SERVICES INC.	MSI FINANCIAL SERVICES, INC.	Oct 2, 2003	Oct 17, 2003	15	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Oct 23, 2009 to presentfactForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Dec 1, 2005 to Oct 23, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
May 17, 2005 to Oct 31, 2005factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Oct 17, 2003 to Dec 6, 2004factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Sep 26, 2002 to Oct 2, 2003factForm ADV

Dated events

No dated event names this entity yet.