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Dominador Serrano De Guzman

Strategic Advisers LLC

Diamond Bar, CA

Brea, CA

CRD 4111424

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Employer firm

Strategic Advisers LLC CRD 104555

$1.37T regulatory AUM 17,518 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (investment companies)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

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

Current Employers
Strategic Advisers Llc

155 Seaport Blvd, Boston, MA 02210-2698 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-03-31
TX RA APPROVED 2025-03-31
  • CA RA
    APPROVED
    Since 2025-03-31
  • TX RA
    APPROVED
    Since 2025-03-31

Branch Locations

Diamond Bar, CA • United States

815 E Birch St, Brea, CA 92821-5765 • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Deutsche Bank New York NY 07/2007 11/2020
Deutsche Bank Santa Ana CA 10/2014 11/2020
Independent Financial Group Tustin CA 11/2020 07/2021
Fidelity Brokerage Services Llc Brea CA 07/2021 Present
Cinergy Financial Tustin CA 11/2020 07/2021
Fidelity Investments Boston MA 03/2025 Present
  • 07/2007 → 11/2020
    Deutsche Bank
    New York, NY
  • 10/2014 → 11/2020
    Deutsche Bank
    Santa Ana, CA
  • 11/2020 → 07/2021
    Independent Financial Group
    Tustin, CA
  • 07/2021 → Present
    Fidelity Brokerage Services Llc
    Brea, CA
  • 11/2020 → 07/2021
    Cinergy Financial
    Tustin, CA
  • 03/2025 → Present
    Fidelity Investments
    Boston, MA
Previous Registrations
  • 2021-10-06 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Diamond Bar, CA
Other Businesses

OBA-102760|OrgNmn:National Junior Basketball|Org Addr:Tustin,California,US|OBA Nature:Youth Basketball Community Lea|Invst Rel:N|Title:Basketball Referee|Duties:Position is to referee/officiate youth basketball games with participants being 3-14 years old. Community based Sports league focused to fost|StrtDt:01-28-26|TotHrs/mon:20|TrdHrs/mon:0|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-07-22
S63 Uniform Securities Agent State Law Examination 2020-09-03
  • S65 Uniform Investment Adviser Law Examination
    2021-07-22
  • S63 Uniform Securities Agent State Law Examination
    2020-09-03
Other Names
  • Dominador Serrano De Guzman
  • Dominador Serrano De Guzman

View on SEC IAPD

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