GUY D HUGAERT

GUY D HUGAERT is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 19601 YORBA LINDA BLVD, YORBA LINDA, CA, 92886.

GUY D HUGAERT has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since January 07, 2015

Disclosure History

GUY D HUGAERT has 5 Disclosure Event(s).

Date: May 05, 2014
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 12, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: September 16, 2009
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: March 06, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: January 23, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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