Monica Jill Guttmann

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2021-02-24
TX	RA	APPROVED	2012-10-26
IL	RA	APPROVED	2011-02-18

FL RA
APPROVED

Since 2021-02-24
TX RA
APPROVED

Since 2012-10-26
IL RA
APPROVED

Since 2011-02-18

Branch Locations

2021 Spring Rd, Oak Brook, IL 60523 • United States

Fort Myers, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Bank Of America, N.A.	Oak Brook	IL	06/2011	Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Oak Brook	IL	02/2011	Present

06/2011 → Present

Bank Of America, N.A.

Oak Brook, IL
02/2011 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Oak Brook, IL

Previous Registrations

1999-12-30 → 2011-02-25

Ubs Financial Services Inc.

Chicago, IL

Chicago, IL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-20
S63	Uniform Securities Agent State Law Examination	1987-12-04

S65 Uniform Investment Adviser Law Examination

1999-12-20
S63 Uniform Securities Agent State Law Examination

1987-12-04

View on SEC IAPD

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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