Carl Guillory
Carl Guillory is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Houston, TX, with 39 years of industry experience. Carl is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:
- Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
- Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.
Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.
Location
800 Capitol St, Houston, TX, 77002
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2015Customer Dispute
January 2002Other Business Activities
Carl is an officer (Grand Knight) of the St. Cecilia Knights of Columbus, a Catholic men's charitable organization, since 2015. He dedicates minimal time to this role.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
Smith Barney, Harris Upham & CO., IncorporatedBroker
Shearson Lehman Hutton INC.Broker
Prudential-Bache Securities INC.Broker
State Registrations40 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
More Advisors
- Reed SmithMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Jeffrey HanshawMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Christopher RuizMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Nicholas CopelandMerrill Lynch, Pierce, Fenner & Smith Incorporated
- David HarkinsMerrill Lynch, Pierce, Fenner & Smith Incorporated
- Michael RomaMerrill Lynch, Pierce, Fenner & Smith Incorporated