Gary Lew Warren

CRD 1455202 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Winston Salem, NC

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIESeries 31Series 7
Registered states (33): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Indiana · Iowa · Kansas · Kentucky · Maryland · Massachusetts · Missouri · Montana · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · Tennessee · Texas · Utah · Virginia · Washington
Years in the industry (source record): 40
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 1455202 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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Winston Salem, NC · IA capacity

Jun 16, 2006 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Winston Salem, NC · BC capacity

start not retrieved → present
Ubs Financial Services Inc.
IA capacity

Dec 31, 2001 → Jul 10, 2006
Ubs Financial Services Inc.
BD capacity

Aug 14, 2000 → Jul 10, 2006
J.C. Bradford & Co.
BD capacity

Feb 17, 1993 → Aug 14, 2000
J.C. Bradford & Co.
BD capacity

Jan 26, 1993 → Feb 17, 1993
Prudential Securities Incorporated
BD capacity

Sep 15, 1989 → Jan 26, 1993
Thomson Mckinnon Securities Inc.
BD capacity

Feb 19, 1986 → Sep 15, 1989

Source & corrections

Where this page comes from

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