Bret H. Gardner
Professional summary
Bret H Gardner was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bret is a previously registered financial advisor and started their career in finance in 2003. Prior to being barred, Bret had worked at 3 firms, which includes RICHFIELD ORION INTERNATIONAL INC., GRANT WILLIAMS L.P., NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2011 - May 30, 2012
RICHFIELD ORION INTERNATIONAL, INC.
August 25, 2010 - October 21, 2011
GRANT WILLIAMS L.P.
October 5, 2009 - October 21, 2011
GRANT WILLIAMS L.P.
April 6, 2006 - September 30, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 29, 2003 - September 30, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
Current Firm
RICHFIELD ORION INTERNATIONAL, INC.
CRD#: 24433 / SEC#: , 8-41166
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RICHFIELD ORION INTERNATIONAL, LLC | PARENT COMPANY | |
| STUART, JAMES BRETT | CEO,CFO,DIRECTOR, CCO | 3022149 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 1 |
Red Flags
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