Nelia Cruz Guzman, financial advisor Guaynabo PR
93 score

Nelia Cruz Guzman

CRD Number: 5406344
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Nelia Cruz Guzman (CRD# 5406344) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Guaynabo, PR and has over 6 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Merrill Lynch, Pierce, Fenner & Smith Incorporated, PR Sep 2012 - Current 4
Ubs Financial Services Inc. San Juan, PR Jun 2008 - Sep 2012 4
Popular Securities San Juan, PR Dec 2007 - Jun 2008 < 1
Smith Barney San Juan, PR Jul 2007 - Dec 2007 < 1
Amet Services Carolina, PR Aug 2002 - Jun 2007 4
Outback San Juan, PR Jan 2003 - Dec 2006 3
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 2010
S65 NASAA Investment Advisors Law Examination Dec 2013
Contact Info for Nelia V. Cruz Guzman
Phone Number: 800-637-7455
Registered State(s):
  • FL
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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