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ERNEST EUGENE GUILLIAMS III
ERNEST EUGENE GUILLIAMS, SKIP GUILLIAMS
CRD#: 834378
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 10000 AVALON BLVD
ALPHARETTA, GA 30009
Registration History
19801985199019952000200520102015202020252 FIRMS2002 - 2008 (6 years)2 FIRMS2008 - Present (16 years)BWACHOVIA SECURITIES, INC. (CRD# 431)1994 - 2002 (8 years)BINTERSTATE/JOHNSON LANE CORPOR... (CRD# 431)1994 - 1994 (<1 year)BSMITH BARNEY SHEARSON INC. (CRD# 7059)1989 - 1994 (5 years)BINTERSTATE/JOHNSON LANE CORPOR... (CRD# 431)1988 - 1989 (<1 year)BJOHNSON, LANE, SPACE, SMITH & ... (CRD# 472)1985 - 1988 (2 years)BWILLIAM BLAIR & COMPANY (CRD# 1252)1985 - 1985 (<1 year)BE. F. HUTTON & COMPANY INC (CRD# 235)1977 - 1985 (8 years)IAWACHOVIA SECURITIES, INC. (CRD# 431)2002 - 2002 (<1 year)
Disclosure(s)
View By:
9/13/2013
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 1/4/2018

B
New York 2/3/2021

B
Arizona 2/9/2024

B
North Carolina 7/8/2009

B
California 1/19/2024

B
Ohio 12/20/2019

B
Colorado 2/14/2023

B
Pennsylvania 4/22/2009

B
Florida 12/5/2008

B
Rhode Island 10/31/2024

B
Georgia 12/5/2008

B
South Carolina 12/5/2008

IA
Georgia 12/9/2008

B
Tennessee 12/5/2008

B
Illinois 3/20/2024

IA
Texas 12/8/2008

B
Kentucky 9/14/2021

B
Texas 4/23/2021

B
Maryland 4/11/2019

B
Utah 3/29/2022

B
Michigan 11/16/2020

B
Virginia 3/12/2019

B
Minnesota 6/1/2016

B
Washington 8/23/2023

B
Mississippi 1/16/2019

B
Wisconsin 3/5/2013

B
Missouri 12/5/2008

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)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 12/8/2008

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
10000 AVALON BLVD, ALPHARETTA, GA 30009
Registered with this firm since 12/5/2008

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/25/2002 - 12/08/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ALPHARETTA, GA
B
06/15/2002 - 12/08/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) ALPHARETTA, GA
IA
01/28/2002 - 06/25/2002 WACHOVIA SECURITIES, INC. (CRD#:431) ATLANTA, GA
B
04/22/1994 - 06/15/2002 WACHOVIA SECURITIES, INC. (CRD#:431) CHARLOTTE, NC
B
03/31/1994 - 04/22/1994 INTERSTATE/JOHNSON LANE CORPORATION (CRD#:431)
B
03/07/1989 - 04/12/1994 SMITH BARNEY SHEARSON INC. (CRD#:7059) NEW YORK, NY
B
10/14/1988 - 03/13/1989 INTERSTATE/JOHNSON LANE CORPORATION (CRD#:431)
B
12/13/1985 - 10/14/1988 JOHNSON, LANE, SPACE, SMITH & CO., INC. (CRD#:472)
B
06/20/1985 - 12/12/1985 WILLIAM BLAIR & COMPANY (CRD#:1252)
B
03/01/1977 - 06/12/1985 E. F. HUTTON & COMPANY INC (CRD#:235)
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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.