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Jose Farit Guzman Vazquez

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ontario, CA

Rancho Cucamonga, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2026-01-07
CA RA APPROVED 2025-11-12
  • TX RA
    APPROVED
    Since 2026-01-07
  • CA RA
    APPROVED
    Since 2025-11-12

Branch Locations

735 N Euclid Ave, Ontario, CA 91762 • United States

7387 Day Creek Blvd, Rancho Cucamonga, CA 91739 • 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 Clearing Services, Llc West Covina CA 06/2024 07/2025
Wells Fargo Bank, Na West Covina CA 08/2018 07/2025
Sun Leader Inc Los Angeles CA 10/2003 06/2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated Redlands CA 07/2025 Present
East Los Angeles College Monterey Park CA 02/2014 12/2019
Bank Of America, N.A. Redlands CA 10/2025 Present
  • 06/2024 → 07/2025
    Wells Fargo Clearing Services, Llc
    West Covina, CA
  • 08/2018 → 07/2025
    Wells Fargo Bank, Na
    West Covina, CA
  • 10/2003 → 06/2018
    Sun Leader Inc
    Los Angeles, CA
  • 07/2025 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Redlands, CA
  • 02/2014 → 12/2019
    East Los Angeles College
    Monterey Park, CA
  • 10/2025 → Present
    Bank Of America, N.A.
    Redlands, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-11-12
S63 Uniform Securities Agent State Law Examination 2024-11-27
  • S66 Uniform Combined State Law Examination
    2025-11-12
  • S63 Uniform Securities Agent State Law Examination
    2024-11-27
Other Names
  • Jose Guzman

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ONTARIO, CA
TRINITY FINANCIAL PARTNERS · ONTARIO, CA
OSAIC WEALTH, INC. · ONTARIO, CA
WELLS FARGO CLEARING SERVICES, LLC · ONTARIO, CA
NEWEDGE ADVISORS · Ontario, CA
LPL FINANCIAL LLC · RANCHO CUCAMONGA, CA
U.S. BANCORP ADVISORS, LLC · Rancho Cucamonga, CA
LPL FINANCIAL LLC · ONTARIO, CA

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