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WILLIAM DE CARDENAS
GUILLERMO RAUL DE CARDENAS, WILLIAM DECARDENAS
CRD#: 2766308
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2010 (<1 year)2 FIRMS2010 - 2013 (2 years)2 FIRMS2013 - 2014 (1 year)2 FIRMS2015 - 2020 (5 years)2 FIRMS2020 - 2021 (<1 year)2 FIRMS2021 - Present (3 years)BGLOBAL STRATEGIC INVESTMENTS, LLC (CRD# 117028)2014 - 2014 (<1 year)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1996 - 1998 (1 year)
Disclosure(s)
View By:
3/7/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/23/2022

B
North Carolina 7/15/2021

B
Florida 7/27/2021

B
Ohio 3/16/2022

B
Georgia 7/19/2021

B
Pennsylvania 2/23/2022

IA
Georgia 7/19/2021

B
South Carolina 7/15/2021

B
Michigan 3/15/2022

B
Tennessee 2/23/2022

B
New York 7/15/2021

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 7/19/2021

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 7/15/2021

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/22/2020 - 07/16/2021 LPL FINANCIAL LLC (CRD#:6413) MIAMI, FL
B
10/21/2020 - 07/16/2021 LPL FINANCIAL LLC (CRD#:6413) MIAMI, FL
IA
09/01/2015 - 10/21/2020 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) MIAMI, FL
B
08/01/2015 - 10/21/2020 CETERA INVESTMENT SERVICES LLC (CRD#:15340) MIAMI, FL
B
04/29/2014 - 09/19/2014 GLOBAL STRATEGIC INVESTMENTS, LLC (CRD#:117028) BROOKLYN, NY
IA
02/19/2013 - 04/08/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) MIAMI SHORES, FL
B
02/15/2013 - 04/08/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) MIAMI SHORES, FL
IA
05/20/2010 - 02/20/2013 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) KEY WEST, FL
B
03/16/2010 - 02/20/2013 BB&T INVESTMENT SERVICES, INC. (CRD#:33856) KEY WEST, FL
IA
06/24/2009 - 03/05/2010 EDWARD JONES (CRD#:250) MIAMI, FL
B
04/24/2009 - 03/05/2010 EDWARD JONES (CRD#:250) MIAMI, FL
B
08/13/1996 - 02/10/1998 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.