MT
Mark A. Tabit
Some features on this profile are disabled
CRD#: 1101308
MT
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Andrew Tabit was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1983. Mark had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 15, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
I*85678 FOR-PROFIT ORGANIZATION: RENTAL INVESTMENT RELATED: Y ADDRESS: SANTA MONICA, CA 90401 NATURE OF BUSINESS: FAMILY BUSINESS, POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 9/1/2015 NUMBER OF HRS DEVOTED: 5 HOUR(S) MONTHLY NUMBER OF HRS DEVOTED DURING TRADING HOURS: 0 DUTIES: RENTAL PROPERTY I*99981 FOR-PROFIT TABIT VENTURES LLC INVESTMENT RELATED: Y PACIFIC PALISADES, CA 90272 FAMILY BUSINESS COMPENSATION FOR ACTIVITY: Y OWNER START DATE OF RELATIONSHIP: 9/1/2015 5 HR(S) ANNUALLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 REAL ESTATE HOLDING COMPANY I*103654 FOR-PROFIT ORGANIZATION NAME OF OUTSIDE BUSINESS ORGANIZATION: PROPERTY INVESTMENT RELATED:Y ADDRESS SANTA MONICA,CA 90401 NATURE OF BUSINESS: FAMILY BUSINESS TITLE: OWNER HRS DEVOTED: 5HR(S) MONTHLY NUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: PURCHASE OF AN INVESTMENT PROPERTY Status: CLOSED I*1312299 For profit or not for profit: Entity For Profit Name of outside business organization: 556 Sauk LLC Investment related: N Address of business: OBA, OBA, OBA Nature of business: ["Limited Liability Company"] Position, title, association: ["Owner"], Start date of relationship: 5/22/2023 Number of hours devoted: 5 hour(s) Weekly Number of hours devoted during trading hours: 5 Duties: , Real Estate to rent then eventual build on I*1415375 For profit or not for profit: Entity For Profit Name of outside business organization: SAUK 556, LLC Investment related: N Address of business: Fontana, Wisconsin, 53125, United States Nature of business: ["Limited Liability Company"] Position, title, association: ["General Partner/Managing Member"], Start date of relationship: 5/23/2023 Number of hours devoted: 10 hour(s) Monthly Number of hours devoted during trading hours: 10 Duties: , My wife and I own the Land through the LLC so yes we will have decisions for funds and activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
September 18, 2008 - February 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BEVERLY HILLS, CA
Past
September 18, 2008 - February 2, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BEVERLY HILLS, CA
Past
July 1, 2003 - September 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
LOS ANGELES, CA
Past
July 1, 2003 - September 18, 2008
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
LOS ANGELES, CA
Past
July 8, 1997 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
LOS ANGELES, CA
Past
July 9, 1986 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
March 23, 1983 - July 16, 1986
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 6/21/1991
Interest Rate Options ExaminationGeneral Industry/Product Exam
RR
Series 15
Date: 6/19/1991
Foreign Currency Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
MERRILL LYNCH PIERCE FENNER & SMITH | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | MERRILL LYNCH PIERCE FENNER & SMITH INC.
CRD#: 7691 / SEC#: 801-14235, 8-7221
RIA
Registered Investment Advisory firm - SEC (12/8/1978 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Bryant Park, New York, NY 10036
Mailing Address
150 N College St Nc1-028-29-04, Charlotte, NC 28255
Phone number
(800) 637-7455
Established
Delaware since 11/10/1958
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
33,689
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
