Marc A. Dupraw
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.
Marc Andre Dupraw, who also goes by Mark Andre Dupraw, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 1985. Marc had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 10, Series 9 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 23, 2009 - May 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - May 3, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 17, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 15, 2007 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 9, 2003 - October 10, 2007
CHARLES SCHWAB & CO., INC.
April 30, 2003 - October 10, 2007
CHARLES SCHWAB & CO., INC.
December 6, 1989 - October 29, 2002
CHARLES SCHWAB & CO., INC.
May 8, 1989 - April 12, 1990
INTEGRATED RESOURCES INVESTMENT CENTERS, INC.
May 4, 1989 - May 15, 1989
BA INVESTMENT SERVICES, INC.
January 26, 1989 - May 15, 1989
BA INVESTMENT SERVICES, INC.
December 9, 1985 - September 19, 1988
FIDELITY BROKERAGE SERVICES LLC
April 15, 1985 - December 16, 1985
FIDELITY DISTRIBUTORS CORPORATION
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/29/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
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.
