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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guillermo? Claim Your ProfileGuillermo Carlos Lopez is a financial advisor who has been in the industry since July 2016. Guillermo is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and previously worked with EDWARD JONES. He is registered in nine states, including Arizona, California, Florida, Indiana, Nevada, New Mexico, Tennessee, and Texas, for both securities and investment advisory services. Guillermo holds the Series 66, SIE, and Series 7 licenses. His firm, Merrill Lynch, Pierce, Fenner & Smith Inc. is a large firm with over $1 trillion in assets under management. The firm offers a range of financial services, including portfolio management, financial planning, and pension consulting.
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
07/26/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (AUSTIN TX)
NM
07/27/2016 - 07/29/2019
EDWARD JONES (ROSWELL NM)
BOTH
Issued 08/15/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2016
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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