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Nicholas James Guzman

Charles Schwab & Co., Inc.

Fort Mitchell, KY

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2025-02-13
  • KY RA
    APPROVED
    Since 2025-02-13

Branch Locations

285 Buttermilk Pike, Fort Mitchell, KY 41017 • 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
U.S. Bank Covington KY 08/2021 06/2023
U.S. Bancorp Investments, Inc. Cincinnati OH 03/2022 12/2024
Ucsd San Diego CA 10/2014 08/2018
Ucsd Rimac San Diego CA 04/2016 08/2018
Unemployed Cincinnati OH 08/2018 11/2018
Usps Cincinnati OH 12/2018 01/2019
Jackson Hewitt Norwood OH 01/2019 04/2019
Btfb Agency Cincinnati OH 04/2019 08/2021
Charles Schwab & Co., Inc. Mitchell KY 12/2024 Present
  • 08/2021 → 06/2023
    U.S. Bank
    Covington, KY
  • 03/2022 → 12/2024
    U.S. Bancorp Investments, Inc.
    Cincinnati, OH
  • 10/2014 → 08/2018
    Ucsd
    San Diego, CA
  • 04/2016 → 08/2018
    Ucsd Rimac
    San Diego, CA
  • 08/2018 → 11/2018
    Unemployed
    Cincinnati, OH
  • 12/2018 → 01/2019
    Usps
    Cincinnati, OH
  • 01/2019 → 04/2019
    Jackson Hewitt
    Norwood, OH
  • 04/2019 → 08/2021
    Btfb Agency
    Cincinnati, OH
  • 12/2024 → Present
    Charles Schwab & Co., Inc.
    Mitchell, KY
Previous Registrations
Other Businesses

1) Self Employed Sole Propietorship | Investment Related:No|5614 Sugarberry CT |Cincinnati |Oh |45224|USA|Rental Services (Other than Real Estate)|Owner |2/1/2024|Less than 20|0|Calling Repair or Maintenance Services, Occasionally pick up rent checks

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2023-10-04
S63 Uniform Securities Agent State Law Examination 2022-06-25
  • S65 Uniform Investment Adviser Law Examination
    2023-10-04
  • S63 Uniform Securities Agent State Law Examination
    2022-06-25

View on SEC IAPD

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Other Investors

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KIMBERLY MICHELLE BASHAM
JENNIFER G. DRAPP
MARK CHARLES LINDLOFF
DEAN RUSSELL INMAN
SONIA KAY DEMOSS
BRIAN SCOTT TEWES

Other Offices

PNC WEALTH MANAGEMENT LLC · FORT MITCHELL, KY
STATE FARM INVESTMENT MANAGEMENT CORP. · Fort Mitchell, KY
AMERIPRISE FINANCIAL SERVICES, LLC · Fort Mitchell, KY
OSAIC WEALTH, INC. · Fort Mitchell, KY
OSAIC WEALTH, INC. · FORT MITCHELL, KY
VALMARK ADVISERS, INC. · FORT MITCHELL, KY
OSAIC WEALTH, INC. · FORT MITCHELL, KY
HORAN WEALTH, LLC · Fort Mitchell, KY

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