Unclaimed Profile

Samuel Ii Guardiola

SANDERS MORRIS HARRIS LLC·HOUSTON, Texas

SIE, Series 7, Series 9, Series 10, Series 31, Series 63, Series 66Clean record10 years registeredSANDERS MORRIS HARRIS LLC

600 TRAVIS, HOUSTON, TX 77002-3003CRD# 2337264Firm CRD# 20580

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Samuel Ii Guardiola · HOUSTON, TX

Registration

CRD #2337264 · SANDERS MORRIS HARRIS LLC · 10 years registered

Brand Profile

Not yet started

Career History

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Apr 2016 – present

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Jan 2016 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 9

Series 10

Series 31

Series 63

Series 66

Registration record

First registered · January 27, 2016

Years registered · 10

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

SANDERS MORRIS LLC

CRD 20580 · SEC 801-66300

AUM

$820M

Regulatory assets under management

Employees

729 client accounts

Services offered by SANDERS MORRIS LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Client types served by the firm

Per Form ADV

Individuals

Pension & Retirement Plans

High Net Worth Individuals

View all advisors at SANDERS MORRIS LLC →

Introduction

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Frequently Asked Questions

What services does Samuel Ii Guardiola offer?

Samuel Ii Guardiola specializes in Financial Planning, Investment Management, Retirement Planning, Wealth Management. Contact their office in HOUSTON, Texas for a consultation.

What are Samuel Ii Guardiola's credentials?

Samuel Ii Guardiola is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Samuel Ii Guardiola located?

Samuel Ii Guardiola is based in HOUSTON, Texas, working with SANDERS MORRIS HARRIS LLC. Their office serves clients in the HOUSTON metropolitan area and surrounding communities.

How does Samuel Ii Guardiola charge for services?

Samuel Ii Guardiola's firm is compensated through percentage of aum, subscription fees, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is SANDERS MORRIS HARRIS LLC?

SANDERS MORRIS HARRIS LLC has approximately 28 employees and manages $820M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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