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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 2013-01-28
MI RA APPROVED 2011-11-04
PA RA APPROVED 2011-06-20
IN RA APPROVED 2009-10-29
CT RA APPROVED 2005-03-28
  • TX RA
    APPROVED_RES
    Since 2013-01-28
  • MI RA
    APPROVED
    Since 2011-11-04
  • PA RA
    APPROVED
    Since 2011-06-20
  • IN RA
    APPROVED
    Since 2009-10-29
  • CT RA
    APPROVED
    Since 2005-03-28

Branch Locations

Oakland Township, MI • United States

39577 Woodward Ave, Bloomfield Hills, MI 48304 • United States

13355 Noel Rd Division - Texas South, Dallas, TX 75240 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Boston MA 02/2005 Present
Previous Registrations
  • 2004-09-29 → 2005-03-01
    Morgan Stanley Dw Inc.
    Purchase, NY
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-12-29
  • S66 Uniform Combined State Law Examination
    1999-12-29
Other Names
  • Bob Garbutt

View on SEC IAPD

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