Dawn M Guzman

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-10-09
TX	RA	APPROVED	2013-03-01
WA	RA	APPROVED	2013-01-03

Branch Locations

275 E Rivulon Blvd, Gilbert, AZ 85297 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Bainbridge Island	WA	08/2012	Present
Bank Of America, N.A.	Bainbridge Island	WA	02/2013	Present

08/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Bainbridge Island, WA
02/2013 → Present

Bank Of America, N.A.

Bainbridge Island, WA

2003-09-03 → 2009-04-28

Banc Of America Investment Services, Inc.

Poulsbo, WA

Poulsbo, WA
1998-12-22 → 2002-12-31

Banc Of America Investment Services, Inc.

Port Orchard, WA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2012-12-26
S65	Uniform Investment Adviser Law Examination	1998-10-23
S63	Uniform Securities Agent State Law Examination	1993-07-22

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