Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Raoul? Claim Your ProfileRaoul Guillarte is a financial advisor with over 20 years of experience in the financial services industry. Raoul is a registered representative of Merrill Lynch, Pierce, Fenner & Smith Inc., and holds the Series 7, Series 31 and Series 66 licenses. In addition to his current registrations, Raoul is registered in 21 states. Raoul has a wide range of experience in financial planning, investment management, and portfolio management. Raoul's prior experience includes working as a financial advisor for Morgan Stanley DW Inc.
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
03/03/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PLEASANTON CA)
NY
04/18/2001 - 08/03/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 03/03/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2011
Series 7 - General Securities Representative Examination
BC
Issued 05/18/2001
Series 31 - Futures Managed Funds 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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