Best Investors Account Sign in

Robert Garza

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Houston, TX

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2015-04-15
  • TX RA
    APPROVED
    Since 2015-04-15

Branch Locations

800 Capitol St, Houston, TX 77002 • 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
Bank Of America, N.A. Houston TX 04/2015 Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated Houston TX 04/2015 Present
Previous Registrations
  • 2012-10-01 → 2015-04-08
    J.P. Morgan Securities Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2011-09-13 → 2012-10-01
    Chase Investment Services Corp.
    Houston, TX
    Houston, TX
  • 2008-06-10 → 2011-08-03
    Edward Jones
    Houston, TX
    St Louis, MO
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-28
S63 Uniform Securities Agent State Law Examination 2006-07-28
  • S66 Uniform Combined State Law Examination
    2008-05-28
  • S63 Uniform Securities Agent State Law Examination
    2006-07-28

View on SEC IAPD

Other Firms

BRIDGE CAPITAL ADVISORS
TSA WEALTH MANAGEMENT
PEREA CAPITAL
TRI-STAR ADVISORS, INC.
HORNOR, TOWNSEND & KENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC
LPL FINANCIAL LLC
MARINER INDEPENDENT

Other Investors

John Charles Robinson
CRYSTAL ALLISON MCKEON
AUSTIN GENTRY MARRS
JONATHAN HARRISON SWANBURG
WILLIAM THOMAS PAYNE
JON CARTER VAUGHAN
GREGORY JAMES KALLUS
Philip Chukwuezugo Onochie

Other Offices

BRIDGE CAPITAL ADVISORS · HOUSTON, TX
TSA WEALTH MANAGEMENT · HOUSTON, TX
PEREA CAPITAL · HOUSTON, TX
TRI-STAR ADVISORS, INC. · HOUSTON, TX
HORNOR, TOWNSEND & KENT, LLC · Houston, TX
AMERIPRISE FINANCIAL SERVICES, LLC · Houston, TX
LPL FINANCIAL LLC · HOUSTON, TX
MARINER INDEPENDENT · Houston, TX

More in Houston, TX

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor