Robert Gottdener
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Gottdener was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1965. Robert had worked at 12 firms and has passed the Series 65, Series 63, PC, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2011 - January 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 29, 2011 - January 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 13, 2001 - May 12, 2011
DEUTSCHE BANK SECURITIES INC.
September 1, 1997 - January 13, 2001
DB ALEX. BROWN LLC
February 6, 1991 - September 1, 1997
ALEX. BROWN & SONS INCORPORATED
January 5, 1989 - February 25, 1991
SUTRO & CO. INCORPORATED
December 2, 1988 - December 21, 1988
WEDBUSH SECURITIES INC.
July 31, 1980 - December 21, 1988
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
June 26, 1974 - August 11, 1980
JEFFERIES EXECUTION SERVICES, INC.
November 8, 1972 - July 13, 1974
ROBERTS, SCOTT & CO., INC.
August 19, 1971 - December 6, 1972
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 14, 1970 - June 5, 1971
BLYTH EASTMAN DILLON & CO. INCORPORATED
March 29, 1965 - October 2, 1971
HAYDEN STONE INC.
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/9/1980
AMEX Put and Call ExamSeries 1
Date: 3/26/1965
Registered Representative ExaminationSeries 40
Date: 12/1/1975
Registered Principal ExaminationCurrent Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
