Roberto Guzman Vidal

IPI WEALTH MANAGEMENT

San Juan, PR 00918

Some features on this profile are disabled

CRD#: 5660932

Professional summary

Roberto Guzman Vidal, ChFC®, who also goes by Roberto Guzman, is a registered financial advisor currently at IPI WEALTH MANAGEMENT, INC. located in San Juan, and INVESTMENT PLANNERS, INC. located in San Juan, .

Roberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. 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

Roberto 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- ROBERTO GUZMAN, INSURANCE SALES, NON-INVESTMENT RELATED: 75 OCEAN DRIVE, APT 123, HUMACAO, PR 00791. NATURE: LIFE AND HEALTH INSURANCE SALES. AGENT START DATE: 11/01/2010. NUMBER OF HOURS/MONTH - 4, NUMBER OF HOURS /MOMTH DURING MARKET HOURS - 0.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Guzman Vidal'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®

ChFC^®

Chartered Financial Consultant

Experience

Current

October 20, 2020 - Present

IPI WEALTH MANAGEMENT, INC.

Office #1: The City Towers 252 Ponce De Leon Ave. Suite 1001, San Juan, PR 00918

RIA

CRD#: 111872

San Juan, PR

Current

October 20, 2020 - Present

INVESTMENT PLANNERS, INC.

Office #1: The City Towers 252 Ponce De Leon Ave. Suite 1001, San Juan, PR 00918

CRD#: 18557

San Juan, PR

Past

January 3, 2018 - October 21, 2020

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

San Juan, PR

Past

April 4, 2014 - December 31, 2017

NPA ASSET MANAGEMENT, LLC

RIA

CRD#: 131534

HATO REY, PR

Past

March 3, 2014 - October 21, 2020

NATIONWIDE PLANNING ASSOCIATES INC.

CRD#: 31029

San Juan, PR

Past

November 5, 2009 - March 7, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

SAN JUAN, PR

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".

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 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.

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

Florida
(10/20/2020)

Illinois
(3/27/2023)

New York
(1/4/2021)

Oregon
(1/4/2021)

Puerto Rico
(10/20/2020)

IAR

Puerto Rico
(10/20/2020)

Texas
(5/23/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/4/2009

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

IPI WEALTH MANAGEMENT, INC.

CRD#: 111872 / SEC#: 801-56878

RIA

Registered Investment Advisory firm - (11/1/1999 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

226 W. Eldorado, Decatur, IL 62522

Mailing Address

P.o. Box 170, Decatur, IL 62525-0170

Phone number

(217) 425-6340

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (47 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IPI WEALTH MANAGEMENT ADV2A (6/9/2025)

Regulatory assets under management

Total Number of Accounts	10,743
AUM (Assets Under Management)	$ 2,248,994,441

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.

Similar Advisors

Edgar Duran

TRANSAMERICA FINANCIAL ADVISORS, LLC

West Palm Beach, FL

James Barr

LPL FINANCIAL LLC

IAR

Lake Worth, FL

Melissa Grass

FREEDOM FINANCIAL ADVISORS, LLC

IAR

South Charleston, WV

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roberto Guzman Vidal

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roberto Guzman Vidal's CRS (Customer Relationship Summary).

Certified licenses

Experience

INVESTMENT PLANNERS, INC.

NPA ASSET MANAGEMENT, LLC

NPA ASSET MANAGEMENT, LLC

NATIONWIDE PLANNING ASSOCIATES INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

IPI WEALTH MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2014

SIE

Date: 10/1/2018

Series 7

Date: 11/4/2009

FINRA

Current Firm

IPI WEALTH MANAGEMENT, INC.

Contact information

SEC notice filing (47 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IPI WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

Similar Advisors