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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-04-19
TX RA APPROVED_RES 2013-05-14
CT RA APPROVED 2011-10-26
  • NY RA
    APPROVED
    Since 2021-04-19
  • TX RA
    APPROVED_RES
    Since 2013-05-14
  • CT RA
    APPROVED
    Since 2011-10-26

Branch Locations

2 Court St, Binghamton, NY 13901 • United States

Conklin , NY • 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 Yes
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Binghamton NY 07/2011 Present
Bank Of America, N.A. Binghamton NY 11/2011 Present
Stifel, Nicolaus & Company, Incorporated(793) Binghamton NY 12/2018 01/2019
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-10-21
  • S66 Uniform Combined State Law Examination
    2011-10-21
Other Names
  • Robert William Garbade

View on SEC IAPD

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