Frank J. 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.
Frank Jesus Guzman, who also goes by Frank Guzman, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1994. Frank had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2014 - June 9, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 26, 2014 - June 9, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 6, 2010 - September 6, 2012
MSI FINANCIAL SERVICES, INC.
October 6, 2010 - September 6, 2012
MSI FINANCIAL SERVICES, INC.
June 1, 2009 - October 6, 2010
MORGAN STANLEY
June 1, 2009 - October 6, 2010
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
October 30, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
October 30, 2003 - April 2, 2007
MORGAN STANLEY DW INC.
May 30, 2000 - November 7, 2003
CITIGROUP GLOBAL MARKETS INC.
September 8, 1998 - November 7, 2003
CITIGROUP GLOBAL MARKETS INC.
May 10, 1994 - September 8, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
