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RIA / WealthAdvisordual registered (broker-dealer)23 years in industry

JOEL M GUERRERO

Advisor at SPC

BROWNSVILLE, TX | ANN ARBOR, MI

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Search this name across graphsid dfx:ria:0f95d126-4426-a48e-477d-3bca60d6dddb

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Aug 25, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: SPC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 23, 2003earliest registration or exam on IAPD
Years in industry: 23derivedfrom the industry start date
Years at current firm: 15derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 23, 2003
First registration: Aug 25, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 4634404

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
Spc	Bd affiliated wealth	May 31, 2011	n/a	yes	BROWNSVILLE, TX\|ANN ARBOR, MI	Current employment
UNITED EQUITY SECURITIES, LLC	n/a	Jun 30, 2010	Aug 9, 2010	no	BROWNSVILLE, TX\|HUSTON, TX	Previous registration
GUNNALLEN FINANCIAL, INC	n/a	Jun 5, 2009	Mar 31, 2010	no	TAMPA, FL\|BROWNSVILLE, TX\|BROWNSVILLE, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jun 29, 2009	no	BROWNSVILLE, TX	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 25, 2003	Jan 1, 2008	no	BROWNSVILLE, TX\|BROWNSVILLE, TX\|ST. LOUIS, MO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
UNITED EQUITY SECURITIES, LLC	Spc	Aug 9, 2010	May 31, 2011	295	Firm change	Other
GUNNALLEN FINANCIAL, INC	UNITED EQUITY SECURITIES, LLC	Mar 31, 2010	Jun 30, 2010	91	Firm change	Other
WELLS FARGO ADVISORS	GUNNALLEN FINANCIAL, INC	Jun 29, 2009	Jun 5, 2009	-24	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other

Relationships

Registered with (5)

→ SPCRegistered adviserregistration: current employment
May 31, 2011 to presentfactForm ADV
→ UNITED EQUITY SECURITIES, LLCRegistered adviserregistration: previous registration
Jun 30, 2010 to Aug 9, 2010factForm ADV
→ GUNNALLEN FINANCIAL, INCRegistered adviserregistration: previous registration
Jun 5, 2009 to Mar 31, 2010factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jun 29, 2009factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 25, 2003 to Jan 1, 2008factForm ADV

Dated events

No dated event names this entity yet.