Martin Gauba
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
13 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- Bank of America, N.A.Sep 2026 to now
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2026 to now
- Morgan StanleyFeb 2023 to Jul 2026
- Fidelity InvestmentsJun 2021 to Feb 2023
- Acs IndustriesAug 2020 to May 2021
- Ventus Auto CenterMay 2020 to Jan 2021
- ValvolineJun 2018 to Sep 2018
- Bryant UniversitySep 2017 to May 2021
- Smithfield Peat CoSep 2017 to May 2018
- Nfc Amenity ManagementJan 2016 to May 2017
- West Milford High SchoolSep 2013 to Jun 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2021
- Series 65 · Uniform Investment Adviser Law2023
State registrations
Registered as an investment adviser representative in 2 states (CT, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7402488
- Firm CRD
- 7691