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Michael Anthony Guzman

Wells Fargo Clearing Services, LLC

Norco, CA

Irvine, CA

CRD 6712733

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-07-16
  • CA RA
    APPROVED
    Since 2024-07-16

Branch Locations

140 Hidden Valley Pkwy Ste G, Norco, CA 92860 • United States

5 Park Plaza 19Th & 20Th Fls [Lt/Sb/Sg-Rbo], Irvine, CA 92614 • 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
Jp Morgan Securities Llc Temecula CA 09/2016 12/2016
Jp Morgan Chase Bank Temecula CA 09/2016 12/2016
Jp Morgan Chase Bank Corona CA 05/2010 09/2016
Wells Fargo Bank Na Lake Elsinore CA 01/2017 Present
Wells Fargo Clearing Services Llc Lake Elsinore CA 06/2017 Present
Unemployed Lake Elsinore CA 12/2016 01/2017
Tgis Catering Services, Inc. Long Beach CA 12/2016 Present
  • 09/2016 → 12/2016
    Jp Morgan Securities Llc
    Temecula, CA
  • 09/2016 → 12/2016
    Jp Morgan Chase Bank
    Temecula, CA
  • 05/2010 → 09/2016
    Jp Morgan Chase Bank
    Corona, CA
  • 01/2017 → Present
    Wells Fargo Bank Na
    Lake Elsinore, CA
  • 06/2017 → Present
    Wells Fargo Clearing Services Llc
    Lake Elsinore, CA
  • 12/2016 → 01/2017
    Unemployed
    Lake Elsinore, CA
  • 12/2016 → Present
    Tgis Catering Services, Inc.
    Long Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-07-16
S63 Uniform Securities Agent State Law Examination 2016-10-26
  • S65 Uniform Investment Adviser Law Examination
    2024-07-16
  • S63 Uniform Securities Agent State Law Examination
    2016-10-26
Other Names
  • Michael Anthony Torres
  • Michael Torres

View on SEC IAPD

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