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Thomas EDWARD Gardner
TOMMY GARDNER
CRD#: 3232825
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 15375 MEMORIAL DR
HOUSTON, TX 77079
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2009 (<1 year)2 FIRMS2009 - 2011 (2 years)2 FIRMS2011 - Present (13 years)BADVANTAGE CAPITAL CORPORATION (CRD# 146)2004 - 2009 (4 years)BNEW ENGLAND SECURITIES (CRD# 615)1999 - 2004 (4 years)IAADVANTAGE CAPITAL CORPORATION (CRD# 146)2005 - 2009 (3 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2002 - 2004 (1 year)
License(s)

State Registrations

B
Alabama 4/10/2014

B
North Carolina 4/10/2014

B
Arizona 5/16/2017

B
Oklahoma 7/26/2022

B
California 4/10/2014

B
Oregon 6/28/2019

B
Colorado 4/10/2014

B
Pennsylvania 2/10/2025

B
Florida 4/10/2014

B
South Carolina 7/26/2017

B
Louisiana 4/10/2014

B
Tennessee 1/15/2019

B
Michigan 10/10/2022

B
Texas 8/26/2011

B
Missouri 12/1/2022

IA
Texas 8/26/2011

B
New York 4/10/2014

B
Virginia 3/14/2016

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
15375 MEMORIAL DR, HOUSTON, TX 77079
Registered with this firm since 8/26/2011

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
15375 MEMORIAL DR, HOUSTON, TX 77079
Registered with this firm since 8/26/2011

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/09/2009 - 09/07/2011 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
B
06/09/2009 - 09/07/2011 LPL FINANCIAL LLC (CRD#:6413) HOUSTON, TX
IA
02/27/2009 - 06/05/2009 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
B
02/27/2009 - 06/05/2009 FSC SECURITIES CORPORATION (CRD#:7461) HOUSTON, TX
IA
06/01/2005 - 02/27/2009 ADVANTAGE CAPITAL CORPORATION (CRD#:146) HOUSTON, TX
B
05/18/2004 - 02/27/2009 ADVANTAGE CAPITAL CORPORATION (CRD#:146) HOUSTON, TX
IA
12/19/2002 - 05/17/2004 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) HOUSTON, TX
B
11/09/1999 - 05/17/2004 NEW ENGLAND SECURITIES (CRD#:615) NEW YORK, NY
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.