Alain Guerra diaz
Investment adviser representative at Merrill Lynch, Pierce, Fenner & Smith Incorporated
13 yearsExperience
2 statesRegistered in
$1.8TFirm assets
47 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
13 years in the industry.
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 2025 to now
- Truist Advisory Services, Inc.Apr 2024 to now
- Truist Investment Services, Inc.Apr 2024 to now
- Truist Investment Service, Inc.Jun 2022 to Apr 2024
- Truist Investment Services, Inc.May 2022 to May 2022
- TruistMar 2020 to May 2022
- Alamos TowingAug 2017 to Mar 2020
- Raw Energy Juice BarMar 2017 to Aug 2017
- Dominos PizzaJan 2016 to Mar 2017
- Barbara Goleman Senior High SchoolAug 2013 to May 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2023
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 2 states (FL, TX).
Merrill Lynch, Pierce, Fenner & Smith Incorporated
$1.8TAssets managed
1,838,984Clients
25,558Advisers
47 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7563575
- Firm CRD
- 7691