Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Guillory is a financial professional with over 30 years of experience in the industry. Carl has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since October 1990. Prior to that, Carl worked at SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, SHEARSON LEHMAN HUTTON INC. and PRUDENTIAL-BACHE SECURITIES INC.. Carl has Series 31, Series 7, Series 63 and SIE licenses. Carl specializes in retirement, estate, and college planning. Carl is also a member of the Knights of Columbus. Carl can provide a variety of services, including portfolio management for individuals and businesses, performance measurement reports, allocation modeling, IPS, research reports and services, educational seminars, pension consulting, and selection of other advisors.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
10/30/1990 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
NY
02/20/1990 - 10/26/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NY
02/16/1988 - 03/12/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/26/1987 - 02/23/1988
PRUDENTIAL-BACHE SECURITIES INC.
BC
Issued 07/08/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 06/20/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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