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JOSEPH D GUALTIERI
JOSEPH A GUALTIERI
CRD#: 4403812
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 1600 JFK BLVD
PHILADELPHIA, PA 19103
Registration History
2002200420062008201020122014201620182020202220242026IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2004 - Present (20 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2002 - Present (22 years)
License(s)

State Registrations

B
Alabama 6/28/2010

B
Nevada 6/28/2010

B
Alaska 6/28/2010

B
New Hampshire 12/2/2005

B
Arizona 6/28/2010

B
New Jersey 3/10/2004

B
Arkansas 6/28/2010

IA
New Jersey 3/10/2004

B
California 6/28/2010

B
New Mexico 6/28/2010

B
Colorado 6/28/2010

B
New York 12/2/2005

B
Connecticut 12/2/2005

B
North Carolina 6/29/2010

B
Delaware 6/28/2010

B
North Dakota 6/28/2010

B
District of Columbia 6/28/2010

B
Ohio 6/29/2010

B
Florida 6/28/2010

B
Oklahoma 6/28/2010

B
Georgia 6/28/2010

B
Oregon 6/28/2010

B
Hawaii 6/28/2010

B
Pennsylvania 3/10/2004

B
Idaho 6/28/2010

IA
Pennsylvania 1/10/2011

B
Illinois 6/28/2010

B
Puerto Rico 11/15/2011

B
Indiana 6/28/2010

B
Rhode Island 12/2/2005

B
Iowa 6/28/2010

B
South Carolina 6/28/2010

B
Kansas 6/28/2010

B
South Dakota 6/28/2010

B
Kentucky 6/28/2010

B
Tennessee 6/28/2010

B
Louisiana 6/28/2010

B
Texas 6/28/2010

B
Maine 12/2/2005

IA
Texas 1/28/2013

B
Maryland 1/9/2010

B
Utah 6/28/2010

IA
Maryland 1/14/2010

B
Vermont 12/2/2005

B
Massachusetts 12/2/2005

B
Virgin Islands 11/15/2011

B
Michigan 6/28/2010

B
Virginia 6/28/2010

B
Minnesota 6/28/2010

B
Washington 6/28/2010

B
Mississippi 6/28/2010

B
West Virginia 6/28/2010

B
Missouri 6/28/2010

B
Wisconsin 6/28/2010

B
Montana 6/28/2010

B
Wyoming 6/28/2010

B
Nebraska 6/28/2010

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

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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)
1600 JFK BLVD, PHILADELPHIA, PA 19103
Philadelphia, PA
Registered with this firm since 3/10/2004

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
1600 JFK BLVD, PHILADELPHIA, PA 19103
Philadelphia, PA
Registered with this firm since 6/19/2002

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B
Broker
IA
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.