Marcos E. Saillant
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.
Marcos Emilio Saillant, who also goes by Marcos E Saillant, was a registered financial professional .
Marcos is a previously registered financial professional and started their career in finance in 1995. Marcos had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2015 - February 9, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 7, 2015 - February 9, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 14, 2014 - September 22, 2014
EQUITABLE ADVISORS, LLC
March 14, 2014 - September 22, 2014
EQUITABLE ADVISORS, LLC
February 12, 2013 - May 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 3, 2012 - May 14, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2006 - August 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 17, 2004 - May 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 21, 2000 - May 22, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1997 - March 20, 2000
CONSECO SECURITIES, INC.
August 5, 1996 - March 25, 1997
METROPOLITAN LIFE INSURANCE COMPANY
August 5, 1996 - March 25, 1997
MSI FINANCIAL SERVICES, INC.
December 6, 1995 - May 20, 1996
THE BOSTON GROUP
August 30, 1995 - November 30, 1995
A.S. GOLDMEN & CO., INC.
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
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.
