Joseph GuanzonCRD Number: 4451298
Current Firm: Morgan Stanley
Joseph Guanzon (CRD# 4451298) is an Investment Advisor Representative working at Morgan Stanley in South Jordan, UT and has over 10 years of experience in the finance industry.
Uma Financial Services Inc.
Brighton Wealth Management, Inc.
|Morgan Stanley Smith Barney||South Jordan, UT||Mar 2011 - Current||6|
|E*trade Securities LLC||Sandy, UT||Jul 2006 - Mar 2011||4|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 2006|
|S66||NASAA Uniform Combined State Law Examination||Apr 2012|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
Total Assets Under Management535,890MILLIONS
Total Number of Accounts1,563,538ACCOUNTS
Average Account Value$342,742
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, 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, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV