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Guillermo Guzman

Rbc Securities, Inc

Los Angeles, CA

Pasadena, CA

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Current Employers
Rbc Securities, Inc

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-10-12
  • CA RA
    APPROVED
    Since 2022-10-12

Branch Locations

555 South Flower Street 11Th Floor, Los Angeles, CA 90071 • United States

Pasadena, CA • United States

Disclosures

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

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Los Angeles CA 01/2014 11/2016
Wells Fargo Clearing Services, Llc Los Angeles CA 11/2016 07/2021
Morgan Stanley Smith Barney Llc Los Angeles CA 07/2021 09/2021
Fidelity Investments Salt Lake City UT 10/2021 09/2022
City National Securities, Inc. Los Angeles CA 10/2022 Present
  • 01/2014 → 11/2016
    Wells Fargo Advisors, Llc
    Los Angeles, CA
  • 11/2016 → 07/2021
    Wells Fargo Clearing Services, Llc
    Los Angeles, CA
  • 07/2021 → 09/2021
    Morgan Stanley Smith Barney Llc
    Los Angeles, CA
  • 10/2021 → 09/2022
    Fidelity Investments
    Salt Lake City, UT
  • 10/2022 → Present
    City National Securities, Inc.
    Los Angeles, CA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-05-12
  • S66 Uniform Combined State Law Examination
    2010-05-12
Other Names
  • Guillermo Guzman
  • Guillermo Guzman
  • Will Guzman

View on SEC IAPD

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NUVEEN ASSET MANAGEMENT, LLC
WEALTHSPIRE RETIREMENT ADVISORY

Other Investors

TERRENCE MICHAEL DEMOREST
DIMITRI JIMMY KRIKELAS
CHRISTOPHER MILES WERNER
Sarah Mushtaq Chhotani
Julie Ann Yoon
Olivia R DiNapoli
Natalie Jeanne-Marie Glover
JAMES EDGAR BERLINER

Other Offices

POST ADVISORY GROUP, LLC · LOS ANGELES, CA
WESTMOUNT PARTNERS, LLC · LOS ANGELES, CA
GIDEON CAPITAL, LLC · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
TLG ADVISORS, INC. · Los Angeles, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LOS ANGELES, CA
NORTHERN TRUST SECURITIES, INC. · LOS ANGELES, CA

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