|Other Names:||Bob Gunnarson|
Robert Gunnarson is a financial professional at Merrill Lynch, Pierce, Fenner & Smith Incorporated, a $385B RIA based in New York, NY. Robert has held an industry securities registration for 35 years and is subject to SEC and FINRA oversight.
Top AnswersRobert James Gunnarson has not answered any questions on Financial Q&A.
|High Net Worth Individuals|
|State or Municipal Government Entities|
|Corporations or Other Businesses|
|Other Pooled Investment Vehicles|
|Pension and Profit Sharing Plans|
|Banking or Thrift Institutions|
*The Client Types data displayed is firm level data as reported on the SEC ADV filing.
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||41 years, 9 months||Jun 1972 - Present|
1 Customer Dispute
2 Customer Disputes
|As of Date||
*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.
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|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|
Types of Compensation Arrangements
- Percentage of Assets
- Hourly Charges
- Fixed Fees