Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mario? Claim Your ProfileMario Guzman is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Mario has been in the industry since February 2019 and has a wide range of experience working with various clients including individuals, corporations, and charitable organizations.
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.
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2
MO
07/31/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHESTERFIELD MO)
MO
05/29/2020 - 07/03/2024
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (ST. LOUIS MO)
MO
05/29/2020 - 07/03/2024
WELLS FARGO CLEARING SERVICES, LLC (CHESTERFIELD MO)
MO
12/04/2018 - 03/26/2020
TD AMERITRADE, INC. (ST. LOUIS MO)
IA
Issued 09/01/2023
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/01/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/07/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 12/04/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/02/2018
SIE - Securities Industry Essentials 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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