Saundra Joan Gardner

CRD 3268104 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Encino, CA

IA RegisteredBroker

Also appears in the source record as: Saundra J Gardner

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): SIESeries 7Series 24Series 65Series 63
Registered states (26): Arizona · California · Colorado · Connecticut · Florida · Georgia · Hawaii · Idaho · Illinois · Kentucky · Maryland · Massachusetts · Nevada · New Jersey · New Mexico · New York · North Carolina · Ohio · Oregon · Pennsylvania · Texas · Utah · Virginia · Washington · Wisconsin · Wyoming
Years in the industry (source record): 27
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 3268104 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 (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Encino, CA · IA capacity

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

start not retrieved → present
Banc Of America Investment Services, Inc.
Westlake Village, CA · IA capacity

Apr 2, 2007 → Oct 23, 2009
Banc Of America Investment Services, Inc.
Westlake Village, CA · BC capacity

Mar 30, 2007 → Oct 23, 2009
Citigroup Global Markets Inc.
Beverly Hills, CA · IA capacity

Dec 27, 2000 → Apr 12, 2007
Citigroup Global Markets Inc.
Beverly Hills, CA · BC capacity

Jul 25, 2000 → Apr 12, 2007
Citicorp Investment Services
Long Island City, NY · BC capacity

Aug 12, 1999 → Oct 23, 2000

Source & corrections

Where this page comes from

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