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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory Gardner is a financial advisor with over 50 years of experience in the financial services industry. Gregory is currently registered as a Registered Representative with Merrill Lynch, Pierce, Fenner & Smith Inc. He is also a Registered Investment Advisor and is licensed to conduct business in several states, including Florida and Texas. Gregory has held previous roles with a number of financial institutions including Smith Barney, Harris Upham & Co., Incorporated and Travelers Equities Sales, Inc. Gregory has passed several industry exams including Series 7TO, Series 63, Series 65, and Series 10. He holds licenses and registrations that allow him to provide investment advice and securities trading services to a wide range of clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
08/23/1983 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMI FL)
NA
08/08/1978 - 03/14/1979
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
11/04/1975 - 09/30/1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
NA
05/12/1975 - 06/03/1977
CONNECTICUT MUTUAL LIFE INSURANCE COMPANY
NA
03/27/1974 - 03/10/1976
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
NA
03/02/1973 - 05/04/1975
NML EQUITY SERVICES, INC.
NA
01/20/1972 - 03/06/1973
TRAVELERS EQUITIES SALES, INC.
IA
Issued 03/06/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/10/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/24/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/17/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/08/1978
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 01/15/1972
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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