Best Investors Account Sign in

Nelia Vanessa Cruz Guzman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Guaynabo, PR

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2014-01-07
FL RA APPROVED 2013-12-11
  • TX RA
    APPROVED
    Since 2014-01-07
  • FL RA
    APPROVED
    Since 2013-12-11

Branch Locations

15 2Nd St / 15 Calle 2, Guaynabo, PR 00968 • 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 Merrill Lynch, Pierce, Fenner & Smith Incorporated PR 09/2012 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-12-07
S63 Uniform Securities Agent State Law Examination 2010-06-29
  • S65 Uniform Investment Adviser Law Examination
    2013-12-07
  • S63 Uniform Securities Agent State Law Examination
    2010-06-29
Other Names
  • Nelia Cruz Guzman
  • Nelia V Cruz Guzman
  • Nelia Vanessa Cruz

View on SEC IAPD

Other Firms

PFS INVESTMENTS INC.
CAF INVESTMENTS LLC
FINANXIAL INVESTMENT ADVISORS, CORP
MOBILITY PARTNERS LLC
CAPITALIA ADVISORS LLC
SALAMANCA CAPITAL LLC
CHINEA WEALTH MANAGEMENT LLC
PINNACLE EQUITY PARTNERS GP LLC

Other Investors

JAVIER ESTREMERA
ANDRES LEWOWICZ
Roberto H Santa Maria Mendez
Carlos Gonzalez Abella
JUAN CARLOS ESTARELLAS SABATER
JOEL DAVILA
Maribel Santiago Lebron
AURORA CASTRO VELEZ

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · Guaynabo, PR
PFS INVESTMENTS INC. · GUAYNABO, PR
CAF INVESTMENTS LLC · GUAYNABO, PR
FINANXIAL INVESTMENT ADVISORS, CORP · SAN JUAN, PR
MOBILITY PARTNERS LLC · SAN JUAN, PR
CAPITALIA ADVISORS LLC · GUAYNABO, PR
CAPITALIA ADVISORS LLC · GUAYNABO, PR
SALAMANCA CAPITAL LLC · SAN JUAN, PR

More in Guaynabo, PR

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor