RG
Roberto E. Guzman
KESTRA ADVISORY SERVICES
Cerritos, CA 90703
Some features on this profile are disabled
CRD#: 4790113
RG
Professional summary
Roberto Epigmenio Guzman is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Cerritos, California and KESTRA INVESTMENT SERVICES, LLC located in Cerritos, California.
Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Roberto has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Business Name: RG Wealth Management Investment Related: Yes Address: 19112 Gridley rd, suite 230 Cerritos CA 90703 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name Position, Title or Relationship: Advisor Start Date: 1/1/2016 Hours per month: 11% - 20% (17 - 32 hours) Hours per month during trading hours: 11% - 20% (15 - 28 hours) Duties: Running day to day activities Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Advisor Start Date: 3/9/2017 Hours per month: 21% - 30% (33 - 48 hours) Hours per month during trading hours: 21% - 30% (29 - 42 hours) Duties: Investment advice Business Name: Rental Property Investment Related: Yes Address: 10341 Victoria ave Whittier CA 90604 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 4/1/2009 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect rent and maintain the property Business Name: ADP Investment Related: No Address: 19112 Gridley rd suite 230 Cerritos CA 90703 Nature of Business: Tax/Accounting/CPA Position, Title or Relationship: I would not have a position or role at ADP I would just refer them for payroll services. Start Date: 12/1/2019 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: No duties or obligations. If the situation call for it I can refer them to ADP for payroll. Business Name: New Growth Financial Investment Related: Yes Address: 19112 Gridley rd, suite 230 Cerritos CA 90703 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Insurance Position, Title or Relationship: Owner Start Date: 9/10/2020 Hours per month: 100%+ (More than 160 hours) Hours per month during trading hours: 31% - 40% (43 - 56 hours) Duties: Financial Planning and investments services Business Name: RG WEALTH MANAGEMENT POSITION: Advisor NATURE: Registered rep activities through Kestra Investment Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 96 SECURITIES TRADING HOURS: 84 START DATE: 01/01/2016 ADDRESS: 10900 183rd st, Cerritos CA 90703 DESCRIPTION: Running day to day activities
CRS (Client Relationship Summary) - RIA
Click below to view Roberto Epigmenio Guzman's 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®
NoneExperience
Current
March 9, 2017 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 10900 E. 183rd Street, Suite 280, Cerritos, CA 90703RIA
CRD#: 283330
Cerritos, CA
Current
March 10, 2017 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 10900 183rd Street Suite 280, Cerritos, CA 90703BD
CRD#: 42046
Cerritos, CA
Past
October 21, 2010 - March 23, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
CERRITOS, CA
Past
October 20, 2010 - March 23, 2017
LPL FINANCIAL LLC
BD
CRD#: 6413
CERRITOS, CA
Past
October 19, 2004 - October 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LONG BEACH, CA
Past
September 9, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 9, 2004 - October 27, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
LONG BEACH, CA
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)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.RR
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
RR
Arizona(11/7/2023)
RR
California(3/10/2017)
IAR
California(3/10/2017)
RR
Colorado(3/10/2017)
RR
Idaho(6/2/2017)
RR
Kansas(8/20/2019)
IAR
Louisiana(3/9/2017)
RR
Massachusetts(12/20/2024)
RR
Michigan(6/24/2025)
RR
North Carolina(2/16/2023)
RR
Oregon(8/23/2023)
RR
Pennsylvania(9/4/2025)
RR
South Carolina(3/10/2017)
RR
Texas(11/11/2020)
IAR
Texas(10/25/2023)
RR
Utah(1/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
