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JG

Jesus A. Guzman

OCEAN FINANCIAL SERVICES
MIAMI, FL 33126
Some features on this profile are disabled
CRD#: 5790176
JG

Professional summary

Jesus Alfredo Guzman, who also goes by Jesus A Guzman, is a registered financial professional currently at OCEAN FINANCIAL SERVICES, LLC located in Miami, Florida.

Jesus is registered as a RR (Registered Representative) and started their career in finance in 2011. Jesus has worked at 7 firms and has passed the Series 7TO, Series 99TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jesus A 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jesus Alfredo 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

March 24, 2025 - Present

OCEAN FINANCIAL SERVICES, LLC

Office #1: 780 Nw 42nd Avenue, Suite 500, Miami, FL 33126
BD
CRD#: 164289
MIAMI, FL
Past

February 19, 2020 - April 30, 2021

KOVACK SECURITIES INC.

BD
CRD#: 44848
Devon, PA
Past

September 19, 2018 - April 13, 2020

BLV SECURITIES

BD
CRD#: 35205
MIAMI, FL
Past

January 11, 2017 - September 4, 2018

HOLISTIC BROKERAGE, LLC

BD
CRD#: 46001
Miami, FL
Past

August 25, 2014 - October 11, 2016

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL
Past

May 8, 2013 - August 26, 2014

MORGAN STANLEY

BD
CRD#: 149777
MIAMI, FL
Past

September 20, 2011 - August 13, 2012

BNP PARIBAS INVESTMENT SERVICES, LLC

BD
CRD#: 44598
MIAMI, FL

State Registrations and Notice Filings

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

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
Florida
(3/24/2025)

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 1/31/2024
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/31/2024
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

OF
OCEAN FINANCIAL SERVICES, LLC
OCEAN FINANCIAL SERVICES, LLC

CRD#: 164289 / SEC#: , 8-69092

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
780 Nw 42nd Avenue, Suite 500, Miami, FL 33126
Mailing Address
780 Nw 42nd Avenue, Suite 500, Miami, FL 33126
Phone number
(305) 461-6940
Established
Florida since 01/19/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (8 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
OFS HOLDING, LLCMEMBER
CAMPBELL, ROBERT NMNCHIEF FINANCIAL OFFICER1349154
DEL CANAL, MANUEL MMANAGER; CHIEF EXECUTIVE OFFICER4624208
LEYVA, GUSTAVO MARTINAML CHIEF COMPLIANCE OFFICER4426994
LEYVA, GUSTAVO MARTINCHIEF COMPLIANCE OFFICER4426994

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.

Company Information

OCEAN FINANCIAL SERVICES, LLC

CRD#: 164289Miami, FL 33126

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