Leopoldo E. Guzman
Professional summary
Leopoldo Eugenio Guzman is a registered financial professional 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 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Leopoldo Eugenio Guzman's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 22, 1987 - Present
GUZMAN & COMPANY
Office #1: 101 Aragon Avenue, Coral Gables, FL 33134March 26, 2007 - February 25, 2014
GUZMAN INVESTMENT STRATEGIES, LLC
September 7, 2006 - February 22, 2018
GUZMAN & COMPANY
June 2, 2004 - January 13, 2010
WATER TOWER SECURITIES, LLC
January 1, 1987 - March 5, 1990
SWISSUS INVESTMENT CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Investors' Exchange LLC
Current Firm
GUZMAN & COMPANY
CRD#: 21013 / SEC#: , 8-38646
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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Company Information
GUZMAN & COMPANY
CRD#: 21013Coral Gables, FL 33134TRUST BUT VERIFY
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