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Anne D Guzman

Morgan Stanley

Wayzata, MN

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Current Employers
Morgan Stanley

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2025-08-28
TX RA APPROVED 2025-08-28
  • MN RA
    APPROVED
    Since 2025-08-28
  • TX RA
    APPROVED
    Since 2025-08-28

Branch Locations

445 East Lake Street Suite 320, Wayzata, MN 55391 • 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
Ubs Financial Services Inc Minneapolis MN 11/2018 08/2025
Transmedics Inc Andover MA 03/2018 10/2018
Pricewaterhouse Coopers Minneapolis MN 05/2015 02/2018
Morgan Stanley Smith Barney Llc Wayzata MN 08/2025 Present
Morgan Stanley Private Bank, N.A New York NY 10/2025 Present
  • 11/2018 → 08/2025
    Ubs Financial Services Inc
    Minneapolis, MN
  • 03/2018 → 10/2018
    Transmedics Inc
    Andover, MA
  • 05/2015 → 02/2018
    Pricewaterhouse Coopers
    Minneapolis, MN
  • 08/2025 → Present
    Morgan Stanley Smith Barney Llc
    Wayzata, MN
  • 10/2025 → Present
    Morgan Stanley Private Bank, N.A
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-06-07
  • S66 Uniform Combined State Law Examination
    2019-06-07
Designations
Other Names
  • Anne Diamond Hertz
  • Anne Guzman
  • Annie Guzman

View on SEC IAPD

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GREGORY PAUL OLSON

Other Offices

LARSON FINANCIAL GROUP, LLC · Wayzata, MN
EDWARD JONES · Wayzata, MN
WALLEYE CAPITAL LLC · WAYZATA, MN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · WAYZATA, MN
GARDA CAPITAL PARTNERS · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA, MN
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WAYZATA , MN
LPL FINANCIAL LLC · WAYZATA, MN

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