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John M Garner

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Henderson, NV

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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 2012-08-29
NV RA APPROVED 2010-10-19
  • TX RA
    APPROVED_RES
    Since 2012-08-29
  • NV RA
    APPROVED
    Since 2010-10-19

Branch Locations

450 N Stephanie St, Henderson, NV 89014 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner &Smith, Inc. Henderson NV 10/2010 Present
Bank Of America, N.A. Henderson NV 07/2011 Present
  • 10/2010 → Present
    Merrill Lynch, Pierce, Fenner &Smith, Inc.
    Henderson, NV
  • 07/2011 → Present
    Bank Of America, N.A.
    Henderson, NV
Previous Registrations
  • 2009-06-01 → 2010-10-20
    Morgan Stanley
    Henderson, NV
  • 2007-04-02 → 2009-06-01
    Morgan Stanley & Co. Llc
    Henderson, NV
  • 2002-09-10 → 2007-04-02
    Morgan Stanley Dw Inc.
    Henderson, NV
    Henderson, NV
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-09-03
S63 Uniform Securities Agent State Law Examination 1992-05-01
  • S65 Uniform Investment Adviser Law Examination
    1997-09-03
  • S63 Uniform Securities Agent State Law Examination
    1992-05-01
Other Names
  • John M Garner
  • John Mark Garner

View on SEC IAPD

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