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AG

Andrew G. Guzzetti

NETWORK 1 FINANCIAL SECURITIES
Red Bank, NJ 07701
Some features on this profile are disabled
CRD#: 1222508
AG

Professional summary

Andrew Gregory Guzzetti is a registered financial professional currently at NETWORK 1 FINANCIAL SECURITIES INC. located in Red Bank, New Jersey.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 1983. Andrew has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 79TO, SIE, Series 3, Series 7, Series 10, Series 9, Series 24, Series 23 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Andrew Gregory Guzzetti's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 17, 2020 - Present

NETWORK 1 FINANCIAL SECURITIES INC.

Office #1: The Galleria Penthouse, Building 2 Suite 241 2 Bridge Avenue, Red Bank, NJ, 07701
BD
CRD#: 13577
Red Bank, NJ
Past

February 6, 2020 - July 6, 2020

D. BORAL CAPITAL

BD
CRD#: 103792
NEW YORK, NY
Past

February 12, 2019 - May 7, 2020

ETICO PARTNERS, LLC

BD
CRD#: 122481
CLIFTON PARK, NY
Past

February 23, 2010 - March 22, 2018

ETICO WEALTH MANAGEMENT LLC

RIA
CRD#: 151046
CLIFTON PARK, NY
Past

January 4, 2010 - January 8, 2018

DINOSAUR FINANCIAL GROUP, L.L.C

BD
CRD#: 104446
CLIFTON PARK, NY
Past

February 22, 2006 - April 1, 2009

MCGINN, SMITH ADVISORS LLC

RIA
CRD#: 137827
ALBANY, NY
Past

September 15, 2004 - December 31, 2009

MCGINN, SMITH & CO., INC.

BD
CRD#: 8453
NEW YORK, NY
Past

March 17, 2004 - September 16, 2004

THE KEYSTONE EQUITIES GROUP, L.P.

BD
CRD#: 127529
AMBLER, PA
Past

March 2, 2004 - September 16, 2004

KEYSTONE ASSET ADVISORS, L.P.

RIA
CRD#: 127543
OAKS, PA
Past

July 31, 1993 - March 15, 2002

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 21, 1983 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/7/2021)
RR
New York
(7/17/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/9/1992
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/11/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 2/10/1984
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/17/1983
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 23
Date: 2/13/2006
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 8
Date: 6/9/1989
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

N1
NETWORK 1 FINANCIAL SECURITIES INC.
ASSET PLANNING & DEVELOPMENT, INC. | STOCKAMERICA, INCORPORATED | NETWORK 1 FINANCIAL SECURITIES INC. | NETWORK 1 FINANCIAL SECURITIES

CRD#: 13577 / SEC#: , 8-29471

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Mailing Address
The Galleria, Suite 241 2 Bridge Avenue, Red Bank, NJ 07701
Phone number
(732) 758-9001
Established
Texas since 03/15/1983
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
NETWORK 1 FINANCIAL GROUP, INC.( ISSI)SHAREHOLDER
ARTICLE THIRD TR UWO RICHARD W. HUNT FBO MADISON HUNTSHAREHOLDER
BRUNO, VINCENT MICHAELCHIEF COMPLIANCE OFFICER1845833
HUNT, WILLIAM RICHARD JRDIRECTOR, PRESIDENT, COO & FINOP, TRUSTEE830575
TESTAVERDE, DAMON DOMENICVICE PRESIDENT444453

Disclosures

Regulatory Event21
Arbitration4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

NETWORK 1 FINANCIAL SECURITIES INC.

CRD#: 13577Red Bank, NJ 07701

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