Leopoldo Eugenio Guzman
Professional Summary
Leopoldo Eugenio Guzman is a registered financial advisor currently at GUZMAN & COMPANY located in Coral Gables, Florida. Leopoldo is registered as a RR (Registered Representative) and started their career in finance in 1987. Leopoldo has worked at 4 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, Series 99TO, SIE, Series 3, Series 16, Series 7, Series 9, Series 10, Series 14, Series 53, Series 4, Series 27 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
GUZMAN & COMPANY
Contact Information
Main Address
101 Aragon Avenue, Coral Gables, FL 33134-5426Mailing Address
101 Aragon Avenue, Coral Gables, FL 33134-5426Phone Number
(305) 374-3600Established
Florida since 01/28/1987Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (25 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(8/24/2012)
(6/27/1989)
(8/17/2012)
(8/17/2012)
(3/25/2016)
(1/1/1988)
(6/6/2016)
(1/26/2011)
(7/6/2001)
(6/29/1993)
(8/17/2012)
(9/4/2012)
(6/27/1989)
(6/27/2001)
(8/21/2012)
(8/17/2012)
(12/22/2015)
(8/20/2012)
(8/21/2012)
(7/11/1989)
(8/17/2012)
(6/21/1993)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Leopoldo Eugenio Guzman's CRS (Customer Relationship Summary).
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