Sergio Guzman, financial advisor Phoenix AZ

Sergio Guzman

CRD Number: 6910767
Current Firm: Charles Schwab & Company, Inc.

Sergio Guzman (CRD# 6910767) is an Investment Advisor Representative working at Charles Schwab & Company, Inc. in Phoenix, AZ and has over 4 years of experience in the finance industry.

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Origin Financial
Company Name Location Dates Years
Charles Schwab & Company Fort Worth, TX Oct 2022 - Current < 1
Td Ameritrade Southlake, TX May 2021 - Current 1
Wells Fargo Clearing Services LLC Keller, TX Feb 2018 - Apr 2021 3
Wells Fargo Bank Na Pasadena, CA Feb 2015 - Feb 2018 3
At&t Pasadena, CA Dec 2013 - Feb 2015 1
Best Buy Santa Clarita, CA Nov 2013 - Dec 2013 < 1
Unemployed Lancaster, CA May 2013 - Nov 2013 < 1
Bank Of America Lancaster, CA Oct 2011 - May 2013 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2018
S65 NASAA Investment Advisors Law Examination Nov 2019
Contact Info for Sergio H. Guzman
Phone Number: 415-667-7000
Registered State(s):
  • TX
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning 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, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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