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Robert James Gunnarson

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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 broker-dealer with over 31,800 registered representatives nationwide. Robert has held an industry securities registration for 35 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 42 years, 3 months Jun 1972 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 03/15/1994
Uniform Securities Agent State Law ExaminationSeries 63 01/10/1989
Interest Rate Options ExaminationSeries 5 11/11/1981
Registered Options Principal ExaminationSeries 4 02/12/1979
General Securities Principal ExaminationSeries 24 02/08/1979
NYSE Branch Manager ExaminationSeries 12 01/09/1979
AMEX Put and Call ExamPC 09/08/1977
Registered Representative ExaminationSeries 1 12/20/1972

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.

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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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