Carlos Alberto Guzman

Employer firm

Regal Investment Advisors LLC CRD 125004

$2.88B regulatory AUM 61 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• S65 Uniform Investment Adviser Law Examination
  2017-04-27

Other Names

• Carlos Guzman