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Marisol Caridad Guarino

B. Riley Wealth Management

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About Marisol Caridad Guarino

Marisol Guarino is a financial professional with over 20 years of experience in the financial services industry. Marisol is currently registered with B. Riley Wealth Management and has previously held positions with National Securities Corporation, Statetrust Investments Inc., Morgan Stanley, Rockwell Global Capital LLC, Multi-Financial Securities Corporation, Maxim Group LLC, Investec Ernst & Company and GKN Securities Corp. Marisol has a strong understanding of the financial markets and is committed to providing her clients with personalized financial advice.

Firm Information

Marisol Guarino is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

130

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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Marisol Guarino’s Registration & Firm History

FL

07/22/2022 - Present

B. Riley Wealth Management (Boca Raton FL)

FL

05/26/2020 - 07/22/2022

NATIONAL SECURITIES CORPORATION (BOCA RATON FL)

FL

11/22/2019 - 04/13/2020

STATETRUST INVESTMENTS INC. (BOCA RATON FL)

FL

02/15/2019 - 07/02/2019

MORGAN STANLEY (BOCA RATON FL)

NY

09/07/2017 - 11/13/2017

NATIONAL SECURITIES CORPORATION (WESTBURY NY)

FL

04/19/2010 - 12/16/2015

ROCKWELL GLOBAL CAPITAL LLC (LAKEMARY FL)

NY

12/13/2007 - 01/07/2009

MULTI-FINANCIAL SECURITIES CORPORATION (PORT WASHINGTON NY)

NY

10/23/2002 - 12/11/2007

MAXIM GROUP LLC (NEW YORK NY)

NY

03/16/2001 - 10/23/2002

INVESTEC ERNST & COMPANY (NEW YORK NY)

NY

03/26/1996 - 01/02/2001

GKN SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/02/2002

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 11/13/2017

SIE - Securities Industry Essentials Examination

BC

Issued 07/11/2001

Series 7 - General Securities Representative Examination

BC

Issued 03/25/1996

Series 11 - Assistant Representative-Order Processing Qualification Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Marisol Caridad Guarino.
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