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Andrew Jay Garton
Andrew Garton
CRD#: 7140854
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 12830 EL CAMINO REAL
SAN DIEGO, CA 92130
Registration History
2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Arizona 3/6/2024

B
New Mexico 11/1/2024

B
Arkansas 3/6/2024

B
New York 3/6/2024

B
California 12/25/2023

B
North Carolina 3/6/2024

IA
California 12/25/2023

B
North Dakota 3/6/2024

B
Colorado 3/6/2024

B
Oregon 3/6/2024

B
Delaware 3/6/2024

B
Pennsylvania 3/6/2024

B
Florida 3/6/2024

B
South Carolina 3/6/2024

B
Georgia 3/6/2024

B
Tennessee 3/6/2024

B
Illinois 3/6/2024

B
Texas 3/6/2024

B
Indiana 3/6/2024

IA
Texas 3/19/2024

B
Kansas 3/6/2024

B
Utah 3/6/2024

B
Maryland 3/6/2024

B
Virginia 3/6/2024

B
Massachusetts 4/1/2024

B
Washington 3/6/2024

B
Missouri 3/6/2024

B
Wisconsin 3/13/2024

B
Nevada 11/1/2024

B
Wyoming 3/8/2024

B
New Jersey 3/6/2024

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

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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)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 12/25/2023

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
12830 EL CAMINO REAL, SAN DIEGO, CA 92130
Registered with this firm since 6/1/2023

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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.