MG
Martin C. Guzman
AE WEALTH MANAGEMENT
Peoria, AZ 85383
Some features on this profile are disabled
CRD#: 4918825
MG
Professional summary
Martin Cornelio Guzman, who also goes by Marty Guzman, is a registered financial advisor currently at AE WEALTH MANAGEMENT, LLC located in Peoria, Arizona.
Martin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. Martin has worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Marty Guzman
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.
1) ARIZONA ESTATE PLANNERS INC; YES INVESTMENT RELATED; 9844 W YEARLING RD D1160 PEORIA,AZ 85383; INSURANCE/ESTATE PLANNER; 9/25/2001; APPROX 180HRS/MO; APPROX 130HRS/MO DURING TRADING HOURS; DUTIES INCLUDE BUSINESS PLANNING, CLIENT MEETINGS AND REVIEWS, SALES AND STRATEGIC RETIREMENT PLANNING. 2) INDEPENDENT WEALTH MANAGEMENT & INSURANCE SERVICES, INC; YES INVESTMENT RELATED; 9844 W. YEARLING RD. D1160 PEORIA, AZ 85383; LIFE INSURANCE AND ANNUITIES, FINANCIAL ADVISING; DIRECTOR, PRESIDENT/CEO, STATUTORY AGENT; 11/23/2011; 40HRS/MO; 40HRS/MO DURING SECURITIES HOURS; DUTIES: RETIREMENT PLANNING, ESTATE PLANNING, LIFE INSURANCE, ANNUITIES. 3) K & M HOLDINGS, LLC; NOT INVESTMENT RELATED; 27534 N. 84th GLEN PEORIA, AZ 85383; REAL ESTATE RENTAL INCOME; MANAGER & AGENT; 07/28/2011; 1HR/MO; 0HRS/MO DURING SECURITIES HOURS; DUTIES: MANAGE BOOKS 4) LB & B MARKETING, INC.; NOT INVESTMENT RELATED; 9844 W. YEARLING RD. SUITE D1160 PEORIA, AZ 85383; MARKETING PROCESSES; DIRECTOR, STATUTORY AGENT; 12/18/201; 2HRS/MO; 0HRS/MO DURING SECURITIES HOURS; DUTIES: MANAGE MARKETING PROCESS
CRS (Client Relationship Summary) - RIA
Click below to view Martin Cornelio 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
April 29, 2016 - Present
AE WEALTH MANAGEMENT, LLC
Office #1: 9844 W Yearling Rd Ste D1160, Peoria, AZ 85383Office #2: 101 S La Canada Dr Ste 115-i, Green Valley, AZ 85614RIA
CRD#: 282580
Peoria, AZ
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".
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 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.Highlighted states indicate IAR registrations
IAR
Arizona(4/29/2016)
IAR
New Mexico(4/25/2017)
IAR
Texas(10/21/2024)
Current Firm
AW
AE WEALTH MANAGEMENT, LLC
AE WEALTH MANAGEMENT, LLC
CRD#: 282580 / SEC#: 801-107319
RIA
Registered Investment Advisory firm - (2/17/2016 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2950 Sw Mcclure Road Suite B, Topeka, KS 66614
Mailing Address
Phone number
(866) 363-9595
Established
Firm type
Fiscal year end
# of Employees
602
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,059 |
| AUM (Assets Under Management) | $ 37,525,706,084 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
