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Emilio Guajardo: $188K UIT Complaint Against Former BB&T Advisor

Merrill Lynch financial advisor Emilio Guajardo (CRD# 4871764) has received multiple investor complaints, including one that settled for more than $250,000. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor based in The Woodlands, Texas. He was previously registered with BB&T Securities. 

Mr. Guajardo’s BrokerCheck report discloses two investor complaints. The most recent, filed in April 2022, alleges that as a representative of BB&T Securities, he recommended an unsuitable investment in a unit investment trust (UIT). The pending complaint alleges damages of $188,000.

An earlier investor complaint, filed in 2020, alleged that the investor “indicated… that his primary concern was safety of principal” in connection with a UIT investment while he was at BB&T Securities. The complaint reached a settlement of $267,979.69.

According to the Financial Industry Regulatory Authority, Emilio Guajardo holds 14 years of securities industry experience. Based in The Woodlands, Texas, he has been a broker and an investment advisor with Merrill Lynch since 2020. His past registrations include BB&T Securities (Houston, Texas; 2018-2020), BB&T Investment Services (Houston, Texas; 2015-2018), Wells Fargo Advisors (The Woodlands, Texas; 2013-2015), BBVA Compass Investment Solutions (The Woodlands, Texas; 2011-2013), Chase Investment Services (Houston, Texas; 2010-2011), and BBVA Investment Solutions (Spring, Texas; 2007-2010). His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in California, Illinois, and Texas. (Information current as of August 30, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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