Garrett James Merrill
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Profilo
Mr. Garrett Merrill is a Managing Director-Supervision at First Allied Securities, Inc. As Managing Director of the Supervision department at First Allied Securities, he manages the regional supervision program, implementation of the internal surveillance process and escalated issues from advisors.
He has been working for First Allied Securities from 2007 as Vice President of the West Coast Region in the Supervision department.
He began his career in the securities industry in 2001 at Howe Barnes Investments located in Chicago, Illinois.
In 2003, he was hired by The Northern Trust Company.
He served as Second Vice President of Compliance for their broker/dealer and was responsible for approving trades, conducting branch office compliance audits and implementing procedures to supervise the sale of alternative investments.
In 2006, he accepted a position with Protiviti, Inc., a risk management consulting firm.
He worked extensively with two of the firm's largest clients, Citigroup and BBVA, a Spanish bank holding company.
Mr. Merrill graduated from DePaul University where he earned a Bachelor of Science degree in finance.
He holds the Series 4, 7, 24, 51, 63 and 65 securities licenses.
Precedenti posizioni note di Garrett James Merrill
| Società | Posizione | Fine |
|---|---|---|
BBVA USA
 BBVA USA Regional BanksFinance BBVA USA engages in the provision of banking products and services to individuals and businesses. It offers checking , savings, credit cards, lending, mortgages, investment, specialty programs, and digital servies. The firm also delivers commercial banking services, such as financing and raising capital, treasury management, investments and risk management, international, insurance and retirement products and services. The company was founded on March 2, 1964 and is headquartered in Birmingham, AL. | Corporate Officer/Principal | - |
| CITIGROUP INC. | Corporate Officer/Principal | - |
Protiviti, Inc.
 Protiviti, Inc. Miscellaneous Commercial ServicesCommercial Services Protiviti, Inc. provides global business consulting and internal auditing. It offers business performance improvement, data management and advanced analytics, digital transformation, forensic, internal audit and financial advisory, managed business services, risk and compliance, technology consulting, and transaction services. The company was founded in May 2002 and is headquartered in Menlo Park, CA. | Corporate Officer/Principal | - |
The Northern Trust Co.
 The Northern Trust Co. Regional BanksFinance The Northern Trust Co. provides investment management, asset, fund administration, fiduciary and banking solutions. The company is headquartered in Chicago, IL. | Corporate Officer/Principal | - |
| Howe Barnes Investments, Inc. | Corporate Officer/Principal | - |
Formazione di Garrett James Merrill
| DePaul University | Undergraduate Degree |
Esperienze
Posizioni ricoperte
Attive
Inattive
Società quotate in Borsa
Aziende private
Società collegate
| Società quotate in Borsa | 1 |
|---|---|
| CITIGROUP INC. | Finance |
| Aziende private | 5 |
|---|---|
First Allied Securities, Inc.
 First Allied Securities, Inc. Investment Banks/BrokersFinance Founded in 1993, First Allied Securities, Inc. is an independent, SEC-registered broker/dealer headquartered in San Diego, California. The firm is a member of FINRA, the NASD and the SIPC. First Allied Securities Inc. was previously a subsidiary of Advanced Equities Financial Corp. In April 2006, Advanced Equities Financial Corp. acquired First Financial Planners and merged it with First Allied Securities. In 2008, the firm acquired First Montauk Securities Corp. from First Montauk Financial Corp. In 2011, Lovell Minnick Partners LLC and the management team of First Allied Advisory Services acquired the firm from Advanced Equities Financial Corp. First Allied Securities is affiliated with First Allied Advisory Services, Inc., a registered investment advisor. The firm provides a full array of trading and execution services for their clients. They do not provide any internal research. | Finance |
| Howe Barnes Investments, Inc. | Finance |
The Northern Trust Co.
The Northern Trust Co. Regional BanksFinance The Northern Trust Co. provides investment management, asset, fund administration, fiduciary and banking solutions. The company is headquartered in Chicago, IL. | Finance |
Protiviti, Inc.
Protiviti, Inc. Miscellaneous Commercial ServicesCommercial Services Protiviti, Inc. provides global business consulting and internal auditing. It offers business performance improvement, data management and advanced analytics, digital transformation, forensic, internal audit and financial advisory, managed business services, risk and compliance, technology consulting, and transaction services. The company was founded in May 2002 and is headquartered in Menlo Park, CA. | Commercial Services |
BBVA USA
BBVA USA Regional BanksFinance BBVA USA engages in the provision of banking products and services to individuals and businesses. It offers checking , savings, credit cards, lending, mortgages, investment, specialty programs, and digital servies. The firm also delivers commercial banking services, such as financing and raising capital, treasury management, investments and risk management, international, insurance and retirement products and services. The company was founded on March 2, 1964 and is headquartered in Birmingham, AL. | Finance |
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