Gary Warren Owens

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2017-03-03
TX	RA	APPROVED_RES	2017-02-13

FL RA
APPROVED

Since 2017-03-03
TX RA
APPROVED_RES

Since 2017-02-13

Branch Locations

1 Town Center Rd, Boca Raton, FL 33486 • 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

Organization	City	State	From	To
Morgan Stanley & Co.	Boca Raton	FL	01/2008	01/2017
Morgan Stanley Smith Barney	Boca Raton	FL	06/2009	01/2017
Morgan Stanley Private Bank, National Association	New York	NY	01/2015	02/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Boca Raton	FL	02/2017	Present
Bank Of America, N.A	Boca Raton	FL	04/2017	Present

01/2008 → 01/2017

Morgan Stanley & Co.

Boca Raton, FL
06/2009 → 01/2017

Morgan Stanley Smith Barney

Boca Raton, FL
01/2015 → 02/2017

Morgan Stanley Private Bank, National Association

New York, NY
02/2017 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Boca Raton, FL
04/2017 → Present

Bank Of America, N.A

Boca Raton, FL

Previous Registrations

2009-06-01 → 2017-02-10

Morgan Stanley

Boca Raton, FL
2008-01-25 → 2009-06-01

Morgan Stanley & Co. Llc

Boca Raton, FL
1993-07-29 → 2008-01-24

Ubs Financial Services Inc.

Boca Raton, FL

Boca Raton, FL

Other Businesses

I*6032 For profit or not for profit: Name of outside business organization: Gary OWens Investment related: Address of business: Gainesville, Florida 32603 Nature of business: Rental Property Position, title, association: , Start date of relationship: 1/15/2018 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 I*6328 For profit or not for profit: Name of outside business organization: Gary And D Owens Investment related: Address of business: Gainesville, Florida 32607 Nature of business: , Compensation for Activity: Position, title, association: , Start date of relationship: 4/24/2018 Number of hours devoted: 1 hour(s) Number of hours devoted during trading hours: 0 I*117468 For profit or not for profit: For-Profit Organization Name of outside business organization: 224 NW 28th St LLC Investment related: N Address of business: Delray Beach, Florida 33446 Nature of business: LLC, Position, title, association: Participant, Start date of relationship: 8/15/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: owns rental house I*117467 For profit or not for profit: For-Profit Organization Name of outside business organization: 1429 NW 7th Ave LLC Investment related: N Address of business: Delray Beach, Florida 33446 Nature of business: LLC, Position, title, association: Participant, Start date of relationship: 8/15/2018 Number of hours devoted: 1 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: owns rental house