DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

ROBERT GORDON TANNER

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INDIAN WELLS, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:733a3096-b1f4-1bf4-a628-2e8810b37e18

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Sep 22, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 21, 2006earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Sep 21, 2006
First registration: Sep 22, 2006
Dual registered: yes, broker-dealer
IAPD individual key: 5130183

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 12, 2013	n/a	yes	INDIAN WELLS, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 1, 2009	May 1, 2013	no	Palm Desert, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Apr 2, 2009	Jun 1, 2009	no	PALM DESERT, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 22, 2006	Apr 3, 2009	no	RANCHO MIRAGE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	May 1, 2013	Apr 12, 2013	-19	Firm change	Wirehouse to wirehouse
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	CITIGROUP GLOBAL MARKETS INC.	Apr 3, 2009	Apr 2, 2009	-1	Firm change	Other

Relationships

Registered with (3)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 22, 2006 to Apr 3, 2009factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to May 1, 2013factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Apr 2, 2009 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.