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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samuel? Claim Your ProfileSamuel Guardiola is a financial advisor in Houston, TX, with over 25 years of experience in the industry. Samuel has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2016. Prior to that, Samuel was a financial advisor at Sanders Morris Harris LLC for over 13 years. Samuel has a broad range of experience serving a variety of clients including individuals, corporations, insurance companies, charitable organizations and pension and profit-sharing plans. Samuel is licensed to offer securities advice in all 50 states and the District of Columbia.
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
TX
04/26/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (HOUSTON TX)
TX
09/05/2002 - 01/25/2016
SANDERS MORRIS HARRIS LLC (HOUSTON TX)
TN
07/17/1995 - 08/23/2002
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NJ
06/16/1994 - 06/14/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
05/18/1993 - 05/17/1994
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 04/26/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/24/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/15/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/14/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/14/2020
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1993
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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