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Information

Other Names: Bob Gunnarson
Firm:
Type: Dual Registration
Description

Robert Gunnarson is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $486B RIA based in New York, NY. Robert has held an industry securities registration for 35 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Robert James Gunnarson has not answered any questions on Financial Q&A.

Top Guides

Robert James Gunnarson has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 41 years, 11 months Jun 1972 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 07/09/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

2 Customer Disputes

As of Date
07/09/2012
08/13/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 03/15/1994
Uniform Securities Agent State Law Examination Series 63 01/10/1989
Interest Rate Options Examination Series 5 11/11/1981
Registered Options Principal Examination Series 4 02/12/1979
General Securities Principal Examination Series 24 02/08/1979
NYSE Branch Manager Examination Series 12 01/09/1979
AMEX Put and Call Exam PC 09/08/1977
Registered Representative Examination Series 1 12/20/1972

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions