Roberto Epigmenio Guzman

Current Employers

Employment History

• 10/2010 → 03/2017
  Lpl Financial Llc
  Cerritos, CA
• 03/2017 → Present
  Kestra Investment Services, Llc
  Cerritos, CA
• 03/2017 → Present
  Kestra Advisory Services, Llc
  Cerritos, CA

Previous Registrations

• 2010-10-21 → 2017-03-23
  Lpl Financial Llc
  Long Beach, CA
  Cerritos, CA
• 2004-10-19 → 2010-10-27
  Ameriprise Financial Services, Llc
  Long Beach, CA
  Long Beach, CA

Other Businesses

Business Name: RG Wealth Management Investment Related: Yes Address: 19112 Gridley rd, suite 230 Cerritos CA 90703 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Advisor Start Date: 1/1/2016 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Running day to day activities Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Advisor Start Date: 3/9/2017 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Investment advice Business Name: Rental Property Investment Related: Yes Address: 10341 Victoria ave Whittier CA 90604 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 4/1/2009 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect rent and maintain the property Business Name: ADP Investment Related: No Address: 19112 Gridley rd suite 230 Cerritos CA 90703 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: I would not have a position or role at ADP I would just refer them for payroll services. Start Date: 12/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: No duties or obligations. If the situation call for it I can refer them to ADP for payroll. Business Name: New Growth Financial Investment Related: Yes Address: 19112 Gridley rd, suite 230 Cerritos CA 90703 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Owner Start Date: 9/10/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Financial Planning and investments services Business Name: RG WEALTH MANAGEMENT POSITION: Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 84 START DATE: 01/01/2016 ADDRESS: 10900 183rd st, Cerritos CA 90703 DESCRIPTION: Running day to day activities

Exams

• S66 Uniform Combined State Law Examination
  2004-10-18