Jeffrey M. Guzman
Professional summary
Jeffrey M Guzman, who also goes by Jeffrey Michael Guzman, is a registered financial professional 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, Series 14, Series 39, Series 26, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey M Guzman's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 13, 2014 - Present
BREAN CAPITAL, LLC
Office #1: 505 Fifth Avenue 5th Floor, New York, NY 10017August 13, 2019 - June 17, 2022
HUNT FINANCIAL SECURITIES
October 3, 2012 - October 9, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 2012 - October 9, 2014
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
January 14, 2008 - August 3, 2012
GLEACHER & COMPANY SECURITIES, INC.
December 4, 2006 - January 4, 2008
CANTOR FITZGERALD & CO.
September 7, 2005 - November 29, 2006
MAXIM GROUP LLC
August 16, 2002 - August 1, 2005
TD WATERHOUSE CAPITAL MARKETS, INC.
June 26, 2000 - August 16, 2002
TD AMERITRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/13/2014)
(10/13/2014)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 8/27/2004
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
BREAN CAPITAL, LLC
CRD#: 23723 / SEC#: , 8-40742
Contact information
FINRA licenses (52 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 | 12 |
Red Flags
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