Steven Charles Guggenheim

Investment Adviser Representative at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD #2877337Investment Adviser Rep

No disclosures on record

Sourced from SEC IAPD & FINRA BrokerCheck

States Registered

36 states

Registrations & licenses

Registration type

Investment Adviser Rep

Registered in 36 states

ArizonaArkansasCaliforniaColoradoDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMissouriMontanaNevadaNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioPennsylvaniaSouth CarolinaTennesseeTexasVirginiaWashingtonWest VirginiaWisconsinWyoming

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Source

MERRILL Lynch, Pierce, FENNER & SMITH INCORPORATED Form ADV Part 2A (Item 5), most recent annual amendment.

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of June 27, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Steven Charles Guggenheim has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.