Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guy? Claim Your ProfileGuy Matthew Smallwood is a financial advisor with over 30 years of experience in the financial services industry. Guy has been with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1997, and has also held positions at BANC ONE SECURITIES CORPORATION and AMERICAN EXPRESS FINANCIAL ADVISORS INC. Guy holds Series 7, 31, and 63 licenses and is also a Series 65 holder.
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
OH
05/01/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MIAMISBURG OH)
IL
03/14/1994 - 04/01/1997
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
MN
04/21/1987 - 03/11/1992
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
NA
02/26/1986 - 12/09/1986
THE STUART-JAMES COMPANY, INC.
IA
Issued 04/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/24/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 02/15/1986
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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