Michael E. Guzman

ROTH CAPITAL PARTNERS

El Segundo, CA 90245

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CRD#: 3207552

Professional summary

Michael Edward Guzman is a registered financial professional currently at ROTH CAPITAL PARTNERS, LLC located in El Segundo, California.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1999. Michael has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 79, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Guzman'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

September 23, 2024 - Present

ROTH CAPITAL PARTNERS, LLC

Office #1: 2321 Rosecrans Avenue, El Segundo, CA 90245

RIA

CRD#: 15407

El Segundo, CA

Past

September 5, 2017 - October 3, 2024

B. RILEY SECURITIES, INC.

CRD#: 25027

Los Angeles, CA

Past

August 15, 2014 - November 30, 2017

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

October 18, 2002 - August 12, 2014

CANTOR FITZGERALD & CO.

CRD#: 134

LOS ANGELES, CA

Past

May 20, 1999 - October 22, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LOS ANGELES, CA

Past

May 12, 1999 - October 22, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(9/23/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/14/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/14/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 79

Date: 6/21/2017

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7

Date: 5/11/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/12/2018

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

CRD#: 15407 / SEC#: , 8-32129

California

Registered Investment Advisory firm - SEC (5/7/2001 Approved)

Florida

Registered Investment Advisory firm - SEC (6/28/2024 Approved)

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Mailing Address

888 San Clemente Suite 400, Newport Beach, CA 92660

Phone number

(949) 720-5700

Established

California since 01/10/2001

Firm type

Limited Liability Company

Fiscal year end

June

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CR FINANCIAL HOLDINGS, INC.	MEMBER
AKDENIZ, NAZAN	COO	2522215
GUREWITZ, AARON MICHAEL	CO-CHIEF EXECUTIVE OFFICER	2244273
LAMARCHE, KRISTIN DIANE	CHIEF COMPLIANCE OFFICER	2582393
MORK, JONATHAN ANDREW	MANAGER	4349125
PANAGIOTIDIS, ALEX	ROSFP	4582559
PLATT, RICHARD L	GENERAL COUNSEL	2059118
ROTH, BYRON CLARENCE	CHAIRMAN/MANAGER	1768553
ROTH, GORDON JAMES	CHIEF FINANCIAL OFFICER/FINOP/MANAGER	3167226
ROTH, THEODORE DAVID	VICE CHAIRMAN	4615931
SHETH, SAGAR ARVIND	CO-CHIEF EXECUTIVE OFFICER	5209865

Disclosures

Regulatory Event	16
Arbitration	12

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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Michael E. Guzman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Edward Guzman's CRS (Customer Relationship Summary).

Certified licenses

Experience

B. RILEY SECURITIES, INC.

B. RILEY & CO., LLC

CANTOR FITZGERALD & CO.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/14/1999

Series 63

Date: 5/14/1999

SIE

Date: 10/1/2018

Series 79

Date: 6/21/2017

Series 7

Date: 5/11/1999

Series 24

Date: 10/12/2018

FINRA

Current Firm

ROTH CAPITAL PARTNERS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ROTH CAPITAL PARTNERS, LLC

TRUST BUT VERIFY

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