Michael John Guzzo

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 11/2014 → 01/2021
  Td Ameritrade, Inc.
  New York City, NY
• 04/2025 → Present
  Principal Securities, Inc.
  Melville, NY
• 04/2025 → Present
  Principal Life Insurance Company
  Melville, NY
• 02/2025 → 04/2025
  Unemployed
  Medford, NY
• 01/2021 → 10/2021
  Unemployed
  Medford, NY
• 10/2021 → 04/2024
  Citigroup
  Ronkonkoma, NY
• 07/2024 → 02/2025
  Lpl Financial Llc
  Rocky Point, NY
• 07/2024 → 02/2025
  Teachers Federal Cu
  Rocky Point, NY
• 04/2024 → 07/2024
  Unemployed
  Medford, NY

Previous Registrations

• 2024-07-22 → 2025-03-05
  Lpl Financial Llc
  Rocky Point, NY
  Manorville, NY
• 2021-12-21 → 2024-04-15
  Citigroup Global Markets Inc.
  Port Jefferson, NY
  Bay Shore, NY
  Ronkonkoma, NY
  East Farmingdale, NY
  East Farmingdale, NY
  Holbrook, NY
• 2014-12-03 → 2021-01-11
  Td Ameritrade, Inc.
  New York, NY
  New York, NY
• 2014-12-03 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  New York, NY
  New York, NY
• 2012-10-01 → 2014-12-02
  J.P. Morgan Securities Llc
  Lindenhurst, NY
  West Babylon, NY
  Wyandanch, NY
• 2010-07-14 → 2012-10-01
  Chase Investment Services Corp.
  Brightwaters, NY
  Smithtown, NY
  West Babylon, NY
  Lindenhurst, NY
  Wyandanch, NY
• 2008-01-29 → 2010-08-17
  Long Island Financial Advisors, Inc.
  Medford, NY
• 2004-08-05 → 2006-02-02
  Td Ameritrade, Inc.
  Melville, NY

Other Businesses

INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 05/15/2025 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.

Exams

• S66 Uniform Combined State Law Examination
  2004-07-29
• S63 Uniform Securities Agent State Law Examination
  1995-05-03

Other Names

• Michael John Guzzo
• Michael John Guzzo
• Michael Guzzo