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Erwin Anthony Guarachi

National Financial Services LLC

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About Erwin Anthony Guarachi

Erwin Guarachi is a financial professional with over 20 years of experience in the industry. Erwin has a broad range of experience in the financial services industry, including roles at UBS Securities LLC, Santander Investment Securities Inc., Fidelity Brokerage Services LLC, and currently National Financial Services LLC. Erwin is registered with FINRA and holds Series 7, 24, and 63 licenses. Erwin is licensed to provide financial services in all states except for Iowa.

Firm Information

Erwin Guarachi is currently registered with National Financial Services LLC. National Financial Services LLC is a Limited Liability Company formed in June 2000. The firm is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. The firm has been the subject of 45 regulatory event disclosures, 1 civil event disclosure and 14 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

598

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Erwin Guarachi’s Registration & Firm History

MA

07/17/2008 - Present

National Financial Services LLC (BOSTON MA)

MA

03/28/2012 - 10/09/2017

FIDELITY BROKERAGE SERVICES LLC (BOSTON MA)

NY

02/01/2000 - 03/20/2008

UBS SECURITIES LLC (NEW YORK NY)

NY

01/10/1999 - 02/04/1999

SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 01/16/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/15/2014

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/12/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Erwin Anthony Guarachi.
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