John M Garner

CRD 1051582 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Henderson, NV

IA RegisteredBroker

Also appears in the source record as: John Mark Garner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): SIESeries 31Series 7Series 6Series 65Series 63
Registered states (27): Arizona · California · Colorado · Florida · Idaho · Illinois · Iowa · Kentucky · Louisiana · Maryland · Michigan · Montana · Nevada · New Jersey · New Mexico · New York · North Carolina · Oklahoma · Oregon · Pennsylvania · South Dakota · Tennessee · Texas · Utah · Virginia · Washington · Wyoming
Years in the industry (source record): 41
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1051582 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (13)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Henderson, NV · BC capacity

start not retrieved → present
Morgan Stanley Smith Barney LLC
Henderson, NV · IA capacity

Jun 1, 2009 → Oct 20, 2010
Morgan Stanley Smith Barney
Henderson, NV · BC capacity

Jun 1, 2009 → Oct 20, 2010
Morgan Stanley & Co. Incorporated
Henderson, NV · IA capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley & Co. Incorporated
Henderson, NV · BC capacity

Apr 2, 2007 → Jun 1, 2009
Morgan Stanley
Henderson, NV · IA capacity

Sep 10, 2002 → Apr 2, 2007
Morgan Stanley Dw Inc.
Henderson, NV · BC capacity

Jul 17, 1997 → Apr 2, 2007
Nylife Securities Inc.
New York, NY · BC capacity

Jul 23, 1996 → May 21, 1997
Robert W. Baird & Co. Incorporated
Milwaukee, WI · BC capacity

Feb 2, 1989 → May 22, 1996
Northwestern Mutual Investment Services, Inc.
BC capacity

Jun 29, 1987 → May 22, 1996
Travelers Equities Sales, Inc.
BC capacity

Apr 30, 1986 → Apr 13, 1988
American Capital Financial Services, Inc.
BC capacity

Apr 15, 1985 → Apr 21, 1986

Source & corrections

Where this page comes from

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