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Ashley C Gardner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Atlanta, GA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-06-04
GA RA APPROVED 2006-06-14
  • TX RA
    APPROVED_RES
    Since 2012-06-04
  • GA RA
    APPROVED
    Since 2006-06-14

Branch Locations

3455 Peachtree Rd Ne, Atlanta, GA 30326 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Atlanta GA 06/2006 Present
Bank Of America, Na Atlanta GA 09/2009 Present
  • 06/2006 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691
    Atlanta, GA
  • 09/2009 → Present
    Bank Of America, Na
    Atlanta, GA
Previous Registrations
  • 2004-05-11 → 2006-05-05
    Uvest Financial Services Group, Inc.
    Alpharetta, GA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-11-27
S63 Uniform Securities Agent State Law Examination 2000-02-07
  • S65 Uniform Investment Adviser Law Examination
    2001-11-27
  • S63 Uniform Securities Agent State Law Examination
    2000-02-07

View on SEC IAPD

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