Michael J. Guzzo
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.
Michael John Guzzo III, who also goes by Michael John Guzzo, Michael Guzzo, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1995. Michael had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 6, 2025 - June 1, 2026
PRINCIPAL SECURITIES, INC.
May 6, 2025 - June 1, 2026
PRINCIPAL SECURITIES, INC.
July 22, 2024 - March 5, 2025
LPL FINANCIAL LLC
July 22, 2024 - March 5, 2025
LPL FINANCIAL LLC
December 27, 2021 - April 15, 2024
CITIGROUP GLOBAL MARKETS INC.
December 21, 2021 - April 15, 2024
CITIGROUP GLOBAL MARKETS INC.
December 3, 2014 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 3, 2014 - January 11, 2021
TD AMERITRADE, INC.
December 2, 2014 - January 11, 2021
TD AMERITRADE, INC.
October 1, 2012 - December 2, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 2, 2014
J.P. MORGAN SECURITIES LLC
July 14, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 8, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 29, 2008 - August 17, 2010
LONG ISLAND FINANCIAL ADVISORS, INC.
May 14, 2007 - September 3, 2009
OSAIC WEALTH, INC.
August 5, 2004 - February 2, 2006
TD AMERITRADE, INC.
May 21, 2004 - February 2, 2006
TD AMERITRADE, INC.
March 26, 1999 - November 5, 2003
CHARLES SCHWAB & CO., INC.
July 23, 1996 - April 20, 1999
MORGAN STANLEY DW INC.
June 29, 1995 - September 12, 1995
PRESTON LANGLEY ASSET MANAGEMENT, INC.
April 25, 1995 - July 5, 1995
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 |
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.
