Gary N. Valentine
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.
Gary Norman Valentine was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1969. Gary had worked at 8 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 1, Series 8, Series 4 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2010 - June 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2010 - June 7, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 22, 2002 - March 2, 2010
UBS FINANCIAL SERVICES INC.
January 28, 1995 - March 2, 2010
UBS FINANCIAL SERVICES INC.
February 25, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
May 18, 1988 - March 8, 1994
LEGG MASON WOOD WALKER, INCORPORATED
January 29, 1986 - June 3, 1988
STERLING & YORKE SECURITIES CORP.
January 31, 1977 - March 24, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
October 6, 1975 - February 21, 1977
LOEB, RHOADES & CO. INC.
January 1, 1969 - November 15, 1975
EDWARDS & HANLY
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
Series 15
Date: 6/12/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/5/1982
Interest Rate Options ExaminationSeries 1
Date: 12/20/1968
Registered Representative ExaminationSeries 8
Date: 4/24/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Series 12
Date: 3/21/1972
NYSE Branch Manager 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 |
|---|---|---|
| 12/15/2025 | ||
| 11/25/2024 | ||
| 08/24/2023 |
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.
