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ROBERTO C. GUIOT
ROBERTO C GUIOT
CRD#: 4857379
IA
B
MORGAN STANLEYCRD#: 149777 24 Waterway Avenue
Suite 600
The Woodlands, TX 77380
Suite 600
The Woodlands, TX 77380
0
Disclosures
21
Years of Experience
View By:
State Registrations
B
California 12/7/2020
B
South Dakota 12/12/2023
B
Colorado 12/12/2023
B
Texas 12/7/2020
B
Delaware 12/7/2020
IA
Texas 12/7/2020
B
Florida 12/1/2023
B
Washington 12/12/2023
B
New York 12/12/2023
B
Wyoming 12/7/2020
SRO Registrations
B
B
B
B
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IA
Registered with this firm since 12/7/2020
B
Registered with this firm since 12/7/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/20/2011 - 12/07/2020 | The Woodlands, TX | |
B | 05/16/2013 - 12/07/2020 | THE WOODLANDS, TX | |
B | 06/30/2009 - 05/16/2013 | HOUSTON, TX | |
B | 06/05/2006 - 07/01/2009 | HOUSTON, TX | |
IA | 12/16/2004 - 06/06/2006 | BOSTON, MA | |
B | 11/17/2004 - 06/06/2006 | BOSTON, MA | |
B | 02/07/2000 - 01/25/2001 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.