Kevin Guzman
Professional summary
Kevin Guzman was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kevin is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Kevin had worked at 5 firms, which includes NATIONAL SECURITIES CORPORATION, S.W. BACH & COMPANY, JOSEPH STEVENS & CO. INC., LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2005 - September 6, 2006
NATIONAL SECURITIES CORPORATION
December 6, 2004 - August 3, 2005
S.W. BACH & COMPANY
August 29, 2003 - December 17, 2004
JOSEPH STEVENS & CO., INC.
November 20, 2002 - September 2, 2003
LADENBURG THALMANN & CO. INC.
February 6, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
Red Flags
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