John Guarnieri
John Guarnieri is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in White Plains, NY, with 37 years of industry experience. John 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
360 Hamilton Ave, White Plains, NY, 10601
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2001Customer Dispute
November 1999Other Business Activities
John works as a poll worker for the Westchester County Board of Elections since 2020, spending a few hours per week. This activity is not investment-related.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.Broker
Kidder, Peabody & CO. IncorporatedBroker
Dollar Dry Dock Investment Services, INC.Broker
Murphey Favre, INC.Broker
G.S.G. Global Securities, INC.Broker
William M. Cadden & CO., INC.Broker
State Registrations35 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
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