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Jaime Osvaldo Guzman

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Montvale, NJ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2020-01-27
NJ RA APPROVED 2019-11-27
  • TX RA
    APPROVED
    Since 2020-01-27
  • NJ RA
    APPROVED
    Since 2019-11-27

Branch Locations

50 Chestnut Ridge Rd, Montvale, NJ 07645 • 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
Adp Broker-Dealer Inc. Florham Park NJ 05/2016 03/2017
Adp Llc. Florham Park NJ 05/2016 03/2017
Jp Morgan Chase Bank Rutherford NJ 03/2017 06/2019
Jpmorgan Securities Llc Rutherford NJ 03/2017 06/2019
Merrill Lynch, Pierce, Fenner & Smith Incorporated Montvale NJ 06/2019 Present
Bank Of America, N.A. Montvale NJ 08/2019 Present
  • 05/2016 → 03/2017
    Adp Broker-Dealer Inc.
    Florham Park, NJ
  • 05/2016 → 03/2017
    Adp Llc.
    Florham Park, NJ
  • 03/2017 → 06/2019
    Jp Morgan Chase Bank
    Rutherford, NJ
  • 03/2017 → 06/2019
    Jpmorgan Securities Llc
    Rutherford, NJ
  • 06/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Montvale, NJ
  • 08/2019 → Present
    Bank Of America, N.A.
    Montvale, NJ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-11-25
S63 Uniform Securities Agent State Law Examination 2016-08-12
  • S66 Uniform Combined State Law Examination
    2019-11-25
  • S63 Uniform Securities Agent State Law Examination
    2016-08-12
Other Names
  • Jaime Guzman
  • Jaime O Guzman
  • Jaime Guzman
  • Jaime Osvaldo Guzman

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · MONTVALE, NJ
VOYA FINANCIAL ADVISORS, INC. · MONTVALE, NJ
TD PRIVATE CLIENT WEALTH LLC · Montvale, NJ
WELLS FARGO CLEARING SERVICES, LLC · PARK RIDGE, NJ
OSAIC WEALTH, INC. · PARK RIDGE, NJ
HUDSON COMPANIES · PEARL RIVER, NY
WESTMORE ASSET MANAGEMENT · PEARL RIVER, NY
HAIDAR CAPITAL MANAGEMENT LLC · PEARL RIVER, NY

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