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Raoul A Guillarte

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pleasanton, CA

Roseville, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-03-03
CA RA APPROVED 2011-03-07
  • TX RA
    APPROVED_RES
    Since 2016-03-03
  • CA RA
    APPROVED
    Since 2011-03-07

Branch Locations

4900 Hopyard Rd, Pleasanton, CA 94588 • United States

2998 Douglas Blvd, Roseville, CA 95661 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pleasanton CA 12/2010 Present
Bank Of America, N.A. Pleasanton CA 10/2011 Present
Previous Registrations
  • 2001-11-16 → 2005-08-03
    Morgan Stanley Dw Inc.
    Pleasanton, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-03
  • S66 Uniform Combined State Law Examination
    2011-03-03
Other Names
  • Raoul A Guillarte
  • Raoul Arcangel Guillarte
  • Raoul Arcangel Guillarte

View on SEC IAPD

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ADAP TAX FINANCIAL, INC. · PLEASANTON, CA
BUCK WEALTH STRATEGIES, LLC · PLEASANTAN, CA
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