Gaines C Walker

CRD 728023 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Knoxville, TN

IA RegisteredBroker

Also appears in the source record as: Gaines Cass Walker Mr.; Gaines Cass Walker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (9): Series 65Series 63Series 27Series 24Series 99TOSIESeries 31Series 7Series 1
Registered states (28): Alabama · Arizona · Arkansas · California · Colorado · District Of Columbia · Florida · Georgia · Idaho · Illinois · Indiana · Kentucky · Maryland · Massachusetts · Mississippi · Nevada · New Jersey · New York · North Carolina · Ohio · Oklahoma · Pennsylvania · South Carolina · Tennessee · Texas · Virginia · Washington · West Virginia
Years in the industry (source record): 45
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 728023 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
Knoxville, TN · IA capacity

Sep 16, 2004 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Knoxville, TN · BC capacity

start not retrieved → present
Ssn Advisory, Inc.
IA capacity

Feb 2, 2004 → Sep 21, 2004
Securities Service Network, Inc.
BD capacity

Sep 25, 1996 → Sep 21, 2004
Equity Financial Corporation
BD capacity

Dec 21, 1994 → Sep 4, 1996
Equity Financial Corporation
BD capacity

Oct 5, 1992 → Nov 12, 1993
A. C. Masingill & Associates, Inc.
BD capacity

Apr 9, 1981 → Oct 20, 1992

Source & corrections

Where this page comes from

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