Expert Review

Alma Guimarin: Exposed with the Allegations of SEC (New Update 2023)

Who is Alma Guimarin (CRD#: 1613884)?

Alma Guimarin uses custom-tailored financial programs to handle unique financial and non-financial difficulties. Alma Guimarin believes that wealth management extends far beyond a portfolio that capitalizes on the complexities of financial markets. Alma Guimarin creates comprehensive financial plans based on her client’s specific needs, goals, and pain spots, using the relevant financial tools and tactics at her disposal. When one of her clients calls, she listens and then goes to work devising a solution.

Alma Guimarin is uniquely suited to give guidance and advice on all of your employee equity compensation needs as a Morgan Stanley Workplace Advisor. To meet the demands of the clients, Alma receives specialized training and education on company-specific programs.

Employee stock and options might be a substantial portion of the wealth someone has accumulated over time to help people achieve the goals that are important to them. Converting that wealth to enable your aspirations is frequently complicated, and options can add another layer of complication due to their differing tax effects and vesting requirements.

Through account consolidation, tax-efficient tactics, diversification solutions, financial planning, and asset management experience, Alma assists customers in maximizing the impact of their equity compensation schemes.

About Morgan Stanley Wealth Management:

Morgan Stanley Wealth Management, an American multinational financial services corporation, specializes in retail brokerage and asset management. As a division of Morgan Stanley, it serves a wide range of clients, from individual investors and small-to-mid-sized businesses to large corporations, non-profit organizations, and family foundations. With a strong history and a proven track record, Morgan Stanley Wealth Management has become a leading choice for those seeking expert financial advice and guidance.

Early Beginnings: Smith Barney & Co.

Morgan Stanley Wealth Management has its roots in the 1938 merger of Charles D. Barney & Co. and Edward B. Smith & Co., which formed Smith Barney & Co. Charles D. Barney & Co., founded by Charles D. Barney in 1873, was a New York and Philadelphia-based firm that emerged from the failure of its predecessor, Jay Cooke & Company. Edward B. Smith & Co., founded in 1892, became a significant player in securities underwriting in 1934 after absorbing the professionals from the securities business of Guaranty Trust Company, following the passage of the Glass-Steagall Act.

Morgan Stanley Wealth Management offers a comprehensive suite of financial services to cater to the diverse needs of its clients. Some of these services include:

Investment Management

Morgan Stanley Wealth Management provides a wide range of investment options, including stocks, bonds, mutual funds, exchange-traded funds (ETFs), and more. Their financial advisors help clients develop tailored investment strategies to meet their specific financial goals and risk tolerance levels.

Financial Planning

Financial planning services offered by Morgan Stanley Wealth Management include retirement planning, education planning, estate planning, and more. Their financial advisors work with clients to understand their financial objectives and develop a comprehensive financial plan to help them achieve those goals.

What is a Financial Advisor?

A financial advisor is a specialist who offers professional financial advice to people looking to accomplish particular financial goals. You work with a financial advisor to develop a thorough financial plan that is specific to your situation, much like you would hire an architect to construct the blueprint for your home. Understanding your existing financial condition, including your income, costs, savings, and spending patterns, is a requirement for this collaboration.

Banking and Lending

Morgan Stanley Wealth Management offers banking and lending solutions, such as cash management accounts, mortgages, home equity loans, and lines of credit to help clients manage their day-to-day financial needs and achieve their long-term financial goals.

Insurance and Annuities

To help clients protect their financial future, Morgan Stanley Wealth Management offers insurance and annuity products, including life insurance, long-term care insurance, and annuities, designed to provide financial stability and peace of mind.

Philanthropy and Social Impact Investing

Morgan Stanley Wealth Management offers philanthropic advisory services and social impact investing options for clients who want to align their investments with their values and make a positive impact on society.

4/12/2023 Update
As of now, Alma Guimarin has not responded, nor has she apologized for her misdeeds. She has ignored our efforts to highlight the problems faced by her victims. Furthermore, she has only focused on propagating her fake PR.

Alma Guimarin Disclosures: BrokerCheck, FINRA, And SEC

The brokerCheck report of Alma Guimarin includes information such as employment history, professional qualification, disciplinary actions, criminal convictions, civil judgment, arbitration awards, and disclosure events.

There is no disclosure against Alma Guimarin.

Financial Advisors often take down their client disputes from FINRA’s Public database through Disclosure Expungement. Even law firms provide expungement services to FAs so that they can hide or remove their client disputes and maintain a clean record. So the lack of any disclosures on BrokerCheck doesn’t necessarily mean that the broker hasn’t had any conflicts in the past.

BrokerCheck

individual_1613884.pdf (finra.org)

SEC Litigations & Forms

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Source: Alma Guimarin – SEC Site Search Search Results

Alma Guimarin Lawsuits

Most court cases filed in the United States of America are archived on CourtListener, UniCourt, Law.com, Justia, and Trellis. law, and Law360. If Alma Guimarin has been involved in any such lawsuits, then you can find the documents using the links down below:

There might be more pending lawsuits against Alma Guimarin which are not listed on these directories. Lawsuit files are often deleted from online directories. So if you cannot find any lawsuits against Alma Guimarin on these websites, then you can contact the local authorities and check if they have a physical copy of any lawsuits.

Alma Guimarin Complaints & Legal Battles

The following websites/directories are the best sources for finding complaints, litigations, and disputes against finance advisors. You can find all the complaints against Alma Guimarin using the websites down below:

You can contact the law firms mentioned above if facing issues with Alma Guimarin or any financial advisor.

Better Alternatives To Alma Guimarin:

These recommendations are based on the ratings of SmartAsset.com, the biggest financial advisor review platform on the internet.
Screenshot 7

Manages Assets Worth

  • $6,427,792,177

Services

  • Financial planning
  • Portfolio management
  • Selection of other advisors (including private fund managers)
  • Family office and consulting services
Screenshot 8

Manages Assets Worth

  • $4,465,757,285

Services

  • Financial planning
  • Portfolio management
  • Pension consulting
  • Selection of other advisors (including private fund managers)
Screenshot 9

Manages Assets Worth

  • $302,000,000

Services

  • Financial planning
  • Portfolio management

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