Jeffrey M Guzman
Professional Summary
Jeffrey M Guzman, who also goes by Jeffrey Michael Guzman, is a registered financial advisor currently at BREAN CAPITAL, LLC located in New York, New York. Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2000. Jeffrey has worked at 9 firms and has passed the Series 63, Series 57TO, Series 82TO, Series 52TO, Series 6TO, Series 22TO, Series 99TO, SIE, Series 3, Series 87, Series 55, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jeffrey Michael Guzman
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
26 years in the financial services industry
Current & Past Employments
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Current Firm
BREAN CAPITAL, LLC | NATIONAL LIQUIDATORS, INC | CARRET SECURITIES, LLC | CARRET SECURITIES, INC. | BREAN MURRAY, CARRET & CO., LLC.
Contact Information
Main Address
505 Fifth Avenue 5th Floor, New York, NY 10017Mailing Address
505 Fifth Avenue 5th Floor, New York, NY 10017Phone Number
(212) 702-6500Established
Delaware since 02/03/2000Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BMUR HOLDINGS, LLC | HOLDING COMPANY | — |
| HUNT FS HOLDINGS III, LLC | HOLDING COMPANY | — |
| ALLURED LLC | HOLDING COMPANY | — |
| LIZINATOR LLC | HOLDING COMPANY | — |
| BREAN CAPITAL HOLDINGS, LLC | HOLDING COMPANY | — |
| CORWEN, STEPHEN MILLER | HEAD OF MBS/ABS SALES | 2943061 |
| FINE, ROBERT MICHAEL | CHIEF EXECUTIVE OFFICER | 1450313 |
| GUZMAN, JEFFREY M | CHIEF COMPLIANCE OFFICER | 3095123 |
| LAMARSH, JONATHAN ANDREW | PRINCIPAL OPERATIONS OFFICER | 5436335 |
| MACKLIN, JOHN TIMOTHY | PRINCIPAL OPERATIONS OFFICER | 1446800 |
| SARABELLA, ARNOLD | CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 1717059 |
| TIRSCHWELL, ROBERT MOYSE | EXECUTIVE MANAGING DIRECTOR | 2230453 |
Disclosures
Regulatory Event
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(10/13/2014)
(10/13/2014)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 82TO — Limited Representative-Private Securities Offerings
Passed Jan 2023About the Series 82TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jan 2023About the Series 6TO examSeries 22TO — Direct Participation Programs Representative Examination
Passed Jan 2023About the Series 22TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2008About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed Aug 2004Series 39 — Direct Participation Programs Principal Examination
Passed Jan 2023About the Series 39 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2023About the Series 26 examSRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jeffrey M Guzman's CRS (Customer Relationship Summary).
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