Brian McGuire
Merrill Lynch
Greenville,SC
1
Certification
8
years of professional experience
Financial services and military operations professional with more than three years of experience in FINRA-regulated brokerage and advisory environments. Previously held Series 7 and Series 66 registrations. Experienced in suitability analysis, client onboarding support, regulated documentation, record accuracy, and deadline-driven follow-through. Brings sound judgment and attention to detail relevant to registered representative onboarding and broker-dealer compliance support.
Work History
Merrill Financial Solutions Advisor
9 Months- Applied FINRA rules and firm procedures to client discovery, investment recommendations, and required documentation while operating under Series 7 and Series 66 registrations.
- Reviewed client financial circumstances, objectives, risk tolerance, time horizon, and liquidity needs to identify suitability and support tailored recommendations.
- Prepared financial plans and portfolio recommendations involving equities, ETFs, and fixed income, translating complex information into clear client explanations.
- Managed client information, case follow-up, and documentation to ensure compliance within a regulated brokerage environment.
Financial Advisor
2 Years 4 Months- Conducted detailed needs analyses for military families across investments, retirement planning, life insurance, and trusted savings strategies.
- Developed allocation models and documented the basis for recommendations in line with client objectives and financial circumstances.
- Reviewed client information and recommendations for consistency with suitability obligations, internal procedures, and Series 7 and Series 66 requirements.
Investment Representative
1 Month- Supported senior advisors with client onboarding, new-account documentation, account administration, and follow-up on outstanding items.
- Assisted clients with investment inquiries
Yeoman
2 Years 11 Months- Supported 41 operational and 25 intelligence agencies in the execution of $139 million in Active Duty for Training orders while maintaining compliance and documentation accuracy.
- Tracked and executed a $6.5 million Defense Intelligence Program budget, achieving a 97 percent execution rate with zero discrepancies.
- Coordinated records, deadlines, and sensitive information across operational and intelligence stakeholders in a controlled environment.
Skills
FINRA regulated client interactions
Suitability needs analysis
Client onboarding and account administration
Documentation review and record accuracy
Financial planning and portfolio analysis
High volume workflow and deadline tracking
Microsoft Excel and Word
Certification
- Previously held Series 7 and Series 66 registrations; qualification window through February 2027
- Previously held U.S. government Secret security clearance
Timeline
Merrill Financial Solutions Advisor
Merrill Lynch
05.2024 - 02.2025Read More
Financial Advisor
First Command Financial Services
09.2021 - 01.2024Read More
Investment Representative
First Financial
07.2021 - 08.2021Read More
Yeoman
United States Navy
04.2017 - 03.2020Read More