Home  >  BrightScope Advisor Pages  >  Joseph Anthony Guardino

help text

Joseph Anthony Guardino

Other Names: Joseph Anthony Guardino Jr
Firm:
Banc of America Securities LLC
Chief Operations Officer
Additional Firm:
Merrill Lynch, Pierce, Fenner & Smith Incorporated
CHIEF OPERATIONS OFFICER & FINOP
Type: Registered Representative
Contact Advisor
Edit Profile

Description

Joseph Guardino has an ownership stake of Merrill Lynch, Pierce, Fenner & Smith Incorporated, a broker-dealer with over 30,000 registered representatives nationwide. Joseph has held an industry securities registration for 14 years and is subject to FINRA oversight.

BrightScope Advisor Metrics

help text

Answers and Guides

help text
0 Answers and 0 Financial Guides

Top Answers

Joseph Anthony Guardino has not answered any questions on Financial Q&A.

Top Guides

Joseph Anthony Guardino has not contributed any Financial Guides on Financial Q&A.
*Answers and guides are provided without compensation.

Firm Client Types

help text
ownership pie chart
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

help text
Employer Years Dates
Merrill Lynch, Pierce, Fenner & Smith Incorporated 2 years, 8 months Sep 2010 - Present
Merrill Lynch Government Securities Inc. ("Mlgsi") 3 years, 11 months Jun 2009 - Present
Banc of America Securities LLC 14 years, 8 months Oct 1998 - Present
Bank of America Nt & Sa 17 years, 4 months Jan 1996 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

help text
Regulator
FINRA
License Status
Registered
Disclosures

No Disclosures Found
As of Date
10/10/2012
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

help text
Exam Series Passed Date
Municipal Securities Principal Examination Series 53 08/11/2003
Financial and Operations Principal Examination Series 27 10/09/2001
Uniform Securities Agent State Law Examination Series 63 06/24/1998
General Securities Representative Examination Series 7 12/13/1997

Firm Compensation Arrangements

help text

Types of Compensation Arrangements

  • Fixed Fees