Derek Ryan Guzman

Employer firm

Charles Schwab & Co., Inc. CRD 5393

955,800 advisory clients

Reported services (Item 5G)

Financial planning
Selection of other advisers
WRAP FEE PROGRAM SPONSOR AND FINANCIAL PLANNING ADVISOR REFERRAL PROGRAM

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

Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-08-02

TX RA
APPROVED

Since 2023-08-02

Branch Locations

11800 Schwab Way, Austin, TX 78758 • 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 Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Charles Schwab & Co., Inc.	Austin	TX	05/2016	Present
Charles Schwab Bank, Ssb	Austin	TX	01/2025	Present

05/2016 → Present

Charles Schwab & Co., Inc.

Austin, TX
01/2025 → Present

Charles Schwab Bank, Ssb

Austin, TX

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-07-31
S63	Uniform Securities Agent State Law Examination	2016-12-12

S66 Uniform Combined State Law Examination

2023-07-31
S63 Uniform Securities Agent State Law Examination

2016-12-12

Other Names

Ryan Guzman

View on SEC IAPD