Robert J. Gartner

ERNST & YOUNG INVESTMENT ADVISERS LLP

Charlotte, NC 28202

CRD#: 2266143

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Professional summary

Robert James Gartner, who also goes by Robert Gartner, is a registered financial advisor currently at ERNST & YOUNG INVESTMENT ADVISERS LLP located in Charlotte, North Carolina.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Robert has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Robert Gartner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Gartner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 8, 2021 - Present

ERNST & YOUNG INVESTMENT ADVISERS LLP

Office #1: 100 N Tryon Street # 3800, Charlotte, NC 28202Office #2: 100 N Tryon Street Suite 3800, Charlotte, NC 28202

RIA

CRD#: 110921

Charlotte, NC

Past

October 15, 2018 - February 19, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Basking Ridge, NJ

Past

September 21, 2018 - February 19, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

Basking Ridge, NJ

Past

August 9, 2018 - September 4, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SECAUCUS, NJ

Past

June 4, 2018 - September 4, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

SECAUCUS, NJ

Past

April 16, 2008 - March 6, 2009

BLACKSTONE SECURITIES PARTNERS L.P.

CRD#: 17917

NEW YORK, NY

Past

December 8, 2004 - October 19, 2006

NOMURA SECURITIES INTERNATIONAL, INC.

CRD#: 4297

NEW YORK, NY

Past

February 25, 1993 - February 5, 1997

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(12/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/26/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/14/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2018

General Securities Representative Examination

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

ERNST & YOUNG INVESTMENT ADVISERS LLP | ERNST & YOUNG LLP

CRD#: 110921 / SEC#: 801-48596

RIA

Registered Investment Advisory firm - (4/7/1995 Approved)

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Contact information

Main Address

200 Plaza Drive First Floor Suite 102, Secaucus, NJ 07094

Mailing Address

Phone number

(800) 273-0588

Established

Firm type

Fiscal year end

# of Employees

140

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ERNST & YOUNG INVESTMENT ADVISERS LLP (9/10/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Robert J. Gartner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert James Gartner's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

BLACKSTONE SECURITIES PARTNERS L.P.

NOMURA SECURITIES INTERNATIONAL, INC.

PERSHING LLC

Primary Firm SEC Registration

ERNST & YOUNG INVESTMENT ADVISERS LLP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/26/2018

Series 63

Date: 12/14/2004

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2018

Current Firm

ERNST & YOUNG INVESTMENT ADVISERS LLP

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

ERNST & YOUNG INVESTMENT ADVISERS LLP

TRUST BUT VERIFY

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