Aaron Guariglia, financial advisor Peoria IL
83 score

Aaron Guariglia

CRD Number: 4441739
Current Firm: Morgan Stanley

Aaron Guariglia (CRD# 4441739) is an Investment Advisor Representative working at Morgan Stanley in Peoria, IL and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Apr 2015 - Current 1
Morgan Stanley Smith Barney LLC Peoria, IL Mar 2015 - Current 1
J.p. Morgan Securities LLC Peoria, IL Oct 2012 - Mar 2015 2
Chase Investment Services Corp. Peoria, IL Nov 2007 - Oct 2012 4
Merrill Lynch, Pierce, Fenner & Smith Incorporated : 7691 Peoria, IL Mar 2006 - Nov 2007 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Aug 2001
S65 NASAA Investment Advisors Law Examination Nov 2004
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Aaron P. Guariglia
Phone Number: 914-225-5510
Registered State(s):
  • IL
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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