Carlos Guzman

CREAND MANAGEMENT

Miami, FL 33131

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CRD#: 1727654

Professional summary

Carlos Guzman is a registered financial advisor currently at CREAND MANAGEMENT located in Miami, Florida and CREAND SECURITIES located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Carlos has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

Start date 03/06/2024. Serve as Investment Adviser Representative for affiliate RIA, Creand Management (CRD No. 154894). Time allocated between Creand Securities 90% and Creand Management 10%.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Guzman'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

June 25, 2024 - Present

CREAND MANAGEMENT

Office #1: 777 Brickell Avenue Suite 1201, Miami, FL 33131

RIA

CRD#: 154894

Miami, FL

Current

June 11, 2024 - Present

CREAND SECURITIES

Office #1: 777 Brickell Avenue Suite 1201, Miami, FL 33131

CRD#: 38964

Miami, FL

Past

October 7, 2022 - May 31, 2024

EFG ASSET MANAGEMENT (AMERICAS) CORP.

RIA

CRD#: 158905

MIAMI, FL

Past

February 16, 2016 - May 31, 2024

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CREAND MANAGEMENT

BETA CAPITAL MANAGEMENT LLC | CREAND WEALTH MANAGEMENT | CREAND MANAGEMENT

CRD#: 154894 / SEC#: 801-106772

RIA

Registered Investment Advisory firm - (10/13/2015 Approved)

Florida

Registered Investment Advisory firm - (10/23/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/23/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Florida
(6/11/2024)

IAR

Florida
(6/25/2024)

Texas
(6/11/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/1/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/16/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 2/11/2019

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/11/2017

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

CREAND MANAGEMENT

BETA CAPITAL MANAGEMENT LLC | CREAND WEALTH MANAGEMENT | CREAND MANAGEMENT

CRD#: 154894 / SEC#: 801-106772

RIA

Registered Investment Advisory firm - (10/13/2015 Approved)

Florida

Registered Investment Advisory firm - (10/23/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/23/2015 Terminated)

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Contact information

Main Address

777 Brickell Avenue Suite 1201, Miami, FL 33131

Mailing Address

Phone number

(305) 358-8844

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CREAND ADV BROCHURE - MARCH 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	140
AUM (Assets Under Management)	$ 533,350,459

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/24/2025	Cover Page	Report
04/17/2025	Cover Page	Report

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.

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Firm Stability Insights

Carlos Guzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Guzman's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREAND SECURITIES

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG CAPITAL INTERNATIONAL

Primary Firm SEC Registration

CREAND MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2022

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2016

Series 4

Date: 2/11/2019

Series 24

Date: 3/11/2017

FINRA

Nasdaq Stock Market

Current Firm

CREAND MANAGEMENT

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CREAND MANAGEMENT

TRUST BUT VERIFY

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