Arik Clayton Garner

CRD 2764546 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Dallas, TX

IA RegisteredBroker

Also appears in the source record as: Arik C Garner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 63SIESeries 7
Registered states (1): Texas
Years in the industry (source record): 30
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

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 (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dallas, TX · IA capacity

Oct 28, 2024 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Dallas, TX · BC capacity

start not retrieved → present
J.P. Morgan Securities LLC
IA capacity

Aug 28, 2023 → Jul 13, 2024
J.P. Morgan Securities LLC
BD capacity

Jun 3, 2015 → Jul 13, 2024
Morgan Stanley
BD capacity

Nov 19, 2013 → May 26, 2015
Morgan Stanley
IA capacity

Nov 19, 2013 → May 26, 2015
Pershing LLC
BD capacity

Dec 4, 2009 → May 21, 2013
Lockwood Advisors Inc
IA capacity

Dec 4, 2009 → May 21, 2013
Capstone Asset Management Company
IA capacity

Aug 12, 2002 → Nov 10, 2009
Capstone Asset Planning Company
BD capacity

Jun 30, 2000 → Nov 10, 2009
Stonegate Securities, Inc.
BD capacity

Aug 17, 1998 → Nov 15, 1999
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Dec 4, 1996 → Aug 14, 1998

Source & corrections

Where this page comes from

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