Michael J. Guzzo

PRINCIPAL SECURITIES

Melville, NY 11747

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CRD#: 2604788

Professional summary

Michael John Guzzo III, who also goes by Michael John Guzzo, Michael Guzzo, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Melville, New York.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Michael has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael John Guzzo | Michael Guzzo

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.

INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 05/15/2025 ADDRESS: 48 S Service Road, Suite 402, Melville NY 11747, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Guzzo III's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Michael John Guzzo III'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

May 6, 2025 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 48 S Service Rd Ste 402, Melville, NY 11747

RIA

CRD#: 1137

Melville, NY

Current

May 6, 2025 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 48 S Service Rd Ste 402, Melville, NY 11747

RIA

CRD#: 1137

Melville, NY

Past

July 22, 2024 - March 5, 2025

LPL FINANCIAL LLC

RIA

CRD#: 6413

MANORVILLE, NY

Past

July 22, 2024 - March 5, 2025

LPL FINANCIAL LLC

CRD#: 6413

MANORVILLE, NY

Past

December 27, 2021 - April 15, 2024

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Ronkonkoma, NY

Past

December 21, 2021 - April 15, 2024

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Ronkonkoma, NY

Past

December 3, 2014 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

New York, NY

Past

December 3, 2014 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

NEW YORK, NY

Past

December 2, 2014 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

NEW YORK, NY

Past

October 1, 2012 - December 2, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WYANDANCH, NY

Past

October 1, 2012 - December 2, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

WYANDANCH, NY

Past

July 14, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

LINDENHURST, NY

Past

July 8, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

LINDENHURST, NY

Past

January 29, 2008 - August 17, 2010

LONG ISLAND FINANCIAL ADVISORS, INC.

RIA

CRD#: 123439

MEDFORD, NY

Past

May 14, 2007 - September 3, 2009

OSAIC WEALTH, INC.

CRD#: 23131

MEDFORD, NY

Past

August 5, 2004 - February 2, 2006

TD AMERITRADE, INC.

RIA

CRD#: 7870

MELVILLE, NY

Past

May 21, 2004 - February 2, 2006

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

March 26, 1999 - November 5, 2003

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

July 23, 1996 - April 20, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

June 29, 1995 - September 12, 1995

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CRD#: 35733

NEW YORK, NY

Past

April 25, 1995 - July 5, 1995

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

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".

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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

Arizona
(8/20/2025)

Connecticut
(5/6/2025)

Florida
(5/6/2025)

New Jersey
(5/6/2025)

New York
(5/6/2025)

IAR

New York
(5/6/2025)

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: 7/29/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/3/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/26/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

711 High Street, Des Moines, IA 50392

Mailing Address

Principal Financial Group 711 High Street, Des Moines, IA 50392-2080

Phone number

(888) 774-6267

Established

Iowa since 05/01/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,436

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (9/15/2025)

RETIREMENT PLAN CONSULTING (9/15/2025)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (9/15/2025)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (9/15/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	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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Advisor Monitoring

Firm Stability Insights

Michael J. Guzzo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael John Guzzo III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Michael John Guzzo III's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

LONG ISLAND FINANCIAL ADVISORS, INC.

OSAIC WEALTH, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

MORGAN STANLEY DW INC.

PRESTON LANGLEY ASSET MANAGEMENT, INC.

CONTINENTAL BROKER-DEALER CORP.

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/29/2004

Series 63

Date: 5/3/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/24/1995

Series 24

Date: 6/26/2009

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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