Samuel Guardiola

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/2016 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Houston, TX

Other Businesses

1) ALUMNI ADVISORY BOARD TO CAMPUS FRATERNITY, SIGMA ALPHA EPSILON ALUMNI ADVISORY BOARD (4800 CALHOUN RD HOUSTON TX 77004). NON-PROFIT 501C-3, 0% OWNERSHIP, COMMENCED 12/2014, OFFICE IS A 1 YR TERM, BOARD MEMBER ADVISE STUDENT COLONY AND ASSIST THEM IN FOLLOWING ORGANIZATIONS NATIONAL BY-LAWS, 5 HR/MO, 0 HR/MO DURING TRADING. I*133498 For profit or not for profit: For-Profit Organization Name of outside business organization: rental property Investment related: N Address of business: New Braunfels, Texas 78130 Nature of business: Family Business, Position, title, association: Family Held, Start date of relationship: 10/1/2020 Number of hours devoted: 2 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Property at New Braunfels, TX 78130 is a property owned by my spouse and BofA Merrill associate. She will rent the property beginning 10-1-20 through 2-28-2021.. I*889269, Entity Type: Entity Charitable, Name of OBA: National Rifle Association Range Safety Officer, Address: Rosharon, Texas 77583, Investment Related: N, Position, Title, Association: Other, Employee Start Date: 06/26/2022, No Hours: 16, No Hours during trading: 0, Duties: I have completed the training to be an NRA Range Safety Office and in the future anticipate to be an RSO at my private gun club. RSOs are provided by club members rather than outsourcing this responsibility. There is an incentive in discount toward membership dues if the minimum of four - 4 hour shifts are covered in 1 calendar year (i.e. 16 hours per year minimum).

Exams

• S66 Uniform Combined State Law Examination
  2016-04-26
• S63 Uniform Securities Agent State Law Examination
  1993-05-24

Other Names

• Samuel Guardiola
• Samuel Guardiola