Carlos Alberto Guzman

Current Employers

Regal Investment Advisors Llc

2687 44Th Street Se, Kentwood, MI 49512 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2018-11-19

CA RA
APPROVED

Since 2018-11-19

Branch Locations

1050 Lakes Drive #225, West Covina, CA 91790 • United States

2687 44Th Street Se, Kentwood, MI 49512 • 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
Brookstone Capital Management	Wheaton	IL	05/2017	11/2018
Dnj Mortgage	San Dimas	CA	12/2013	04/2024
Ckg Insurance Agency Inc	San Dimas	CA	01/2016	Present
Regal Investment Advisors	Kentwood	MI	11/2018	Present

05/2017 → 11/2018

Brookstone Capital Management

Wheaton, IL
12/2013 → 04/2024

Dnj Mortgage

San Dimas, CA
01/2016 → Present

Ckg Insurance Agency Inc

San Dimas, CA
11/2018 → Present

Regal Investment Advisors

Kentwood, MI

Previous Registrations

2017-05-12 → 2018-11-20

Brookstone Capital Management Llc

San Dimas, CA

Wheaton, IL

Other Businesses

I AM ALSO PRESIDENT OF CKG INSURANCE AGENCY INC. ADDRESS IS 300 N SAN DIMAS AVE. SAN DIMAS, CA 91773. I SELL LIFE INSURANCE PRODUCTS AND FIXED/INDEXED ANNUITIES. I HAVE BEEN WORKING HERE SINCE JAN 2016. I WORK ABOUT 100 HRS A MONTH HERE. IT IS NOT INVESTMENT RELATED

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-27

S65 Uniform Investment Adviser Law Examination

2017-04-27

Other Names

Carlos Guzman

View on SEC IAPD