Jose D Guzman

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
OK	RA	APPROVED	2026-04-07

OK RA
APPROVED

Since 2026-04-07

Branch Locations

1350 S Boulder Ave Ste 300, Tulsa, OK 74119 • 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

Organization	City	State	From	To
Ste Michelle Wine Estates	Woodinville	WA	02/2010	04/2019
Riboli Family	Los Angeles	CA	04/2019	08/2019
Southern Glazers Wine & Spirits	Phoenix	AZ	09/2019	10/2021
Buckler Family/Adobe Road Winery	Petaluma	CA	10/2021	04/2022
Unemployed	Tulsa	OK	04/2022	08/2022
New York Life Insurance Company	Tulsa	OK	08/2022	03/2026
Nylife Securities Llc	Tulsa	OK	01/2023	03/2026
Eagle Strategies Llc	Tulsa	OK	06/2025	03/2026
Summit Financial Group	Tulsa	OK	03/2026	Present
Cetera Wealth Services, Llc	El Segundo	CA	04/2026	Present
Cetera Investment Advisers Llc	Schaumburg	IL	04/2026	Present

02/2010 → 04/2019

Ste Michelle Wine Estates

Woodinville, WA
04/2019 → 08/2019

Riboli Family

Los Angeles, CA
09/2019 → 10/2021

Southern Glazers Wine & Spirits

Phoenix, AZ
10/2021 → 04/2022

Buckler Family/Adobe Road Winery

Petaluma, CA
04/2022 → 08/2022

Unemployed

Tulsa, OK
08/2022 → 03/2026

New York Life Insurance Company

Tulsa, OK
01/2023 → 03/2026

Nylife Securities Llc

Tulsa, OK
06/2025 → 03/2026

Eagle Strategies Llc

Tulsa, OK
03/2026 → Present

Summit Financial Group

Tulsa, OK
04/2026 → Present

Cetera Wealth Services, Llc

El Segundo, CA
04/2026 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Previous Registrations

2025-06-03 → 2026-04-08

Eagle Strategies Llc

Tulsa, OK

Other Businesses

1. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FIXED INSURANCE START DATE: 03/2026 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 37 POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT BRIEF DESCRIPTION OF DUTIES: SELLS fixed insurance products; 2. NAME OF OTHER BUSINESS: THE TRISTESSE GRIEF CENTER ; INVESTMENT RELATED: NO ADDRESS: 2502 E. 71ST TULSA, OK 74136; NATURE OF BUSINESS: NON-PROFIT ; START DATE: 8/20/2023 ; POSITION/TITLE/RELATIONSHIP: VP, BOARD OF DIR ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 0 ; BRIEF DESCRIPTION OF DUTIES: ASSIT-IN BOARD MEETINGS & EXECUTVE SUBCOMMITTEES; 3. NAME OF OTHER BUSINESS: SUMMIT FINANCIAL GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 03/2026 POSITION/TITLE/RELATIONSHIP: DIRECTOR OF INSURANCE SERVICE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES;

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-05-12
S63	Uniform Securities Agent State Law Examination	2023-04-25

S66 Uniform Combined State Law Examination

2025-05-12
S63 Uniform Securities Agent State Law Examination

2023-04-25

Other Names

Jose D Guzman

View on SEC IAPD