Margaret Guzman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Margaret Guzman, who also goes by Margaret Mary Guzman, Margaret Mary Weissler, was a registered financial professional .
Margaret is a previously registered financial professional and started their career in finance in 1985. Margaret had worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2024 - June 25, 2025
WELLS FARGO SECURITIES, LLC
August 26, 2020 - September 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
August 26, 2020 - September 4, 2024
WELLS FARGO CLEARING SERVICES, LLC
June 7, 2018 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
May 30, 2018 - January 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 3, 2015 - March 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
January 16, 2015 - March 17, 2017
WELLS FARGO CLEARING SERVICES, LLC
September 19, 2013 - December 16, 2013
J.P. MORGAN SECURITIES LLC
July 28, 2009 - November 3, 2011
RBC CAPITAL MARKETS, LLC
October 22, 2007 - April 3, 2009
MORGAN JOSEPH TRIARTISAN LLC
October 16, 2006 - September 7, 2007
BARCLAYS CAPITAL INC.
November 10, 2004 - April 12, 2006
INSTINET, LLC
September 5, 2000 - April 12, 2006
INSTINET, LLC
March 29, 1996 - March 6, 2000
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 21, 1994 - November 15, 1995
REPUBLIC NEW YORK SECURITIES CORPORATION
March 26, 1992 - December 7, 1993
CITICORP SECURITIES SERVICES, INC.
September 30, 1987 - June 8, 1990
PRUDENTIAL EQUITY GROUP, LLC
September 24, 1985 - August 22, 1986
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 9/24/2024
Operations Professional ExaminationSeries 55
Date: 8/2/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 9/4/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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