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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-05-27
CA RA APPROVED 2022-04-29
  • TX RA
    APPROVED
    Since 2025-05-27
  • CA RA
    APPROVED
    Since 2022-04-29

Branch Locations

3059 Townsgate Rd 4Th Fl/Ste 400 [Ld-Rbo], Westlake Village, CA 91361 • United States

19213 Golden Valley Rd Ste G1, Santa Clarita, CA 91387 • United States

24301 Magic Mountain Pkwy, Valencia, CA 91355 • United States

43543 20Th St W, Lancaster, CA 93534 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Jp Morgan Securities Llc Reseda CA 10/2012 04/2022
Jp Morgan Chase Bank Reseda CA 09/2008 04/2022
Wells Fargo Clearing Services, Llc Westlake Village CA 04/2022 Present
Previous Registrations
  • 2016-10-12 → 2022-04-30
    Reseda, CA
    Northridge, CA
    Santa Monica, CA
    Northridge, CA
    Santa Monica, CA
    Santa Monica,, CA
    Santa Monica, CA
    Northridge, CA
    San Fernando, CA
    Northridge, CA
    Van Nuys, CA
    San Fernando, CA
    Northridge, CA
    San Fernando, CA
    Porter Ranch, CA
    Northridge, CA
    Reseda, CA
    Reseda, CA
Other Businesses

KIRB, NOT INV RELATED, SYLMAR, CA, 100% OWNERSHIP, START 12/1/2020, 10 HOURS PER MONTH, ZERO HOURS PER MONTH, CREATING MUSIC AND PERFORMING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-10-05
S63 Uniform Securities Agent State Law Examination 2012-11-29
  • S66 Uniform Combined State Law Examination
    2016-10-05
  • S63 Uniform Securities Agent State Law Examination
    2012-11-29
Other Names
  • Adrian A Guzman
  • Adrian Guzman
  • Adrian Anthony Guzman

View on SEC IAPD

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