Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guy? Claim Your ProfileGuy Hugaert is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Guy has been in the securities industry since 2003. Guy is registered with FINRA and has a Series 6, 7, and 66 license. Previously, Guy has been associated with Morgan Stanley, John Hancock Distributors, Inc., Great Western Financial Securities Corporation and Princor Financial Services Corporation. Guy's registration is active in 53 states and District of Columbia for broker-dealer and in 2 states for investment advisor.
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
CA
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEWPORT BEACH CA)
CA
02/01/2013 - 11/06/2014
MORGAN STANLEY (SANTA ANA CA)
MA
05/09/1994 - 09/24/1996
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
CA
09/18/1992 - 09/02/1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
IA
01/24/1986 - 09/08/1992
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
BOTH
Issued 03/01/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2013
Series 7 - General Securities Representative Examination
BC
Issued 01/23/1986
Series 6 - Investment Company Products/Variable Contracts 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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