Ernest Eugene Guilliams

CRD 834378 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Alpharetta, GA

IA RegisteredBroker

Also appears in the source record as: Skip Guilliams

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (5): Series 65Series 63SIEPCSeries 7
Registered states (26): Alabama · Arizona · California · Colorado · Florida · Georgia · Illinois · Kentucky · Maryland · Michigan · Minnesota · Mississippi · Missouri · New York · North Carolina · Ohio · Oregon · Pennsylvania · Rhode Island · South Carolina · Tennessee · Texas · Utah · Virginia · Washington · Wisconsin
Years in the industry (source record): 49
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 834378 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (12)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Alpharetta, GA · IA capacity

Dec 8, 2008 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Alpharetta, GA · BC capacity

start not retrieved → present
Wachovia Securities, LLC
IA capacity

Jun 25, 2002 → Dec 8, 2008
Wachovia Securities, LLC
BD capacity

Jun 15, 2002 → Dec 8, 2008
Wachovia Securities, Inc.
IA capacity

Jan 28, 2002 → Jun 25, 2002
Wachovia Securities, Inc.
BD capacity

Apr 22, 1994 → Jun 15, 2002
Interstate/Johnson Lane Corporation
BD capacity

Mar 31, 1994 → Apr 22, 1994
Smith Barney Shearson Inc.
BD capacity

Mar 7, 1989 → Apr 12, 1994
Interstate/Johnson Lane Corporation
BD capacity

Oct 14, 1988 → Mar 13, 1989
Johnson, Lane, Space, Smith & Co., Inc.
BD capacity

Dec 13, 1985 → Oct 14, 1988
William Blair & Company
BD capacity

Jun 20, 1985 → Dec 12, 1985
E. F. Hutton & Company Inc
BD capacity

Mar 1, 1977 → Jun 12, 1985

Source & corrections

Where this page comes from

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