Dave Jonathan Guzman

Employer firm

Northwestern Mutual Investment Services, LLC CRD 2881

1 advisory clients

Reported services (Item 5G)

• INVESTMENT RESEARCH; REFERRALS TO OTHER ADVISERS

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

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

Current Employers

Employment History

• 10/2018 → 12/2020
  Lake Forest Bankruptcy
  Laguna Hills, CA
• 04/2023 → 03/2024
  Taylor Insurance And Financial Services
  Pasadena, CA
• 12/2020 → 04/2023
  One Pacific Oneamerica
  Carlsbad, CA
• 04/2016 → 10/2018
  Green Steel And Albrecht Llp
  Irvine, CA
• 12/2019 → 01/2020
  Wells Fargo Clearing Services Llc
  Irvine, CA
• 05/2024 → Present
  Northwestern Mutual Investment Services Llc
  Irvine, CA
• 04/2024 → Present
  Joshua Buttrey
  Irvine, CA
• 04/2024 → Present
  Timothy Mulroy
  Irvine, CA
• 04/2024 → Present
  Tyler Terry
  Irvine, CA
• 07/2024 → Present
  Northwestern Mutual Wealth Management Company
  Milwaukee, WI
• 08/2025 → Present
  Chad A Shaw
  Irvine, CA
• 08/2025 → Present
  Thomas A Miller
  Irvine, CA
• 08/2025 → Present
  Henry Sladek
  Irvine, CA

Previous Registrations

• 2022-07-27 → 2023-04-19
  Oneamerica Securities, Inc.
  Indianapolis, IN
  Irvine, CA
  Carlsbad, CA

Exams

• S66 Uniform Combined State Law Examination
  2022-07-26

Other Names

• Dave Guzman
• Dave Jonathan Guzman