Rolando V Guzman

$1.96T regulatory AUM 416,984 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
DC	RA	APPROVED	2022-09-23
MD	RA	APPROVED	2022-09-02
TX	RA	APPROVED	2022-09-02

Branch Locations

702 King Farm Boulevard Suite 500, Rockville, MD 20850 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Washington	DC	04/2014	09/2022
Bank Of America, N.A.	Washington	DC	06/2015	09/2022
Morgan Stanley Smith Barney Llc	Rockville	MD	09/2022	Present

04/2014 → 09/2022

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
06/2015 → 09/2022

Bank Of America, N.A.

Washington, DC
09/2022 → Present

Morgan Stanley Smith Barney Llc

Rockville, MD

2014-04-17 → 2022-09-06

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Washington, DC
2007-08-22 → 2014-04-25

Ubs Financial Services Inc.

Washington, DC
2007-04-02 → 2007-08-24

Morgan Stanley & Co. Llc

Washington, DC
2006-09-22 → 2007-04-02

Morgan Stanley Dw Inc.

Washington, DC

Washington, DC

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2007-07-14
S63	Uniform Securities Agent State Law Examination	2001-08-04

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