AG
Andres E. Guzman
PORTSIDE WEALTH GROUP
Newport Beach, CA 92660
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CRD#: 6212065
AG
Professional summary
Andres Esteban Guzman, CFP® is a registered financial advisor currently at PORTSIDE WEALTH GROUP, LLC located in Newport Beach, California.
Andres is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2013. Andres has worked at 6 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.
07 2024: Legacy Wealth Investment Counsel, LLC: Member; DBA of Portside Wealth RIA activities.
CRS (Client Relationship Summary) - RIA
Click below to view Andres Esteban 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®
CFP®
Start date: 2016
Experience
Current
July 15, 2024 - Present
PORTSIDE WEALTH GROUP, LLC
Office #1: 2549 Eastbluff Dr #219, Newport Beach, CA 92660RIA
CRD#: 325175
Newport Beach, CA
Past
February 8, 2023 - April 22, 2024
BAKER TILLY WEALTH MANAGEMENT, LLC
RIA
CRD#: 167811
Irvine, CA
Past
February 8, 2023 - April 22, 2024
BAKER TILLY CAPITAL, LLC
BD
CRD#: 115333
MADISON, WI
Past
June 29, 2022 - September 7, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
Manhattan Bch, CA
Past
June 29, 2022 - September 7, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Manhattan Bch, CA
Past
October 1, 2014 - May 21, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Los Angeles, CA
Past
October 1, 2014 - May 21, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Los Angeles, CA
Past
August 24, 2013 - June 10, 2014
MORGAN STANLEY
RIA
CRD#: 149777
CHICAGO, IL
Past
July 26, 2013 - June 10, 2014
MORGAN STANLEY
BD
CRD#: 149777
CHICAGO, IL
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".
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
Registered Investment Advisory firm - (3/24/2023 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
California(7/15/2024)
IAR
Texas(7/15/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
PW
PORTSIDE WEALTH GROUP, LLC
ALIGNMENT FINANCIAL ADVISORS | VITAL RETIREMENT | VISION TREE FINANCIAL ADVISORS | TWF WEALTH MANAGEMENT | TURNING POINT FINANCIAL GROUP | TRUROCK WEALTH | SUNCREST ADVISORS | SMART FINANCIAL | SEYMOUR FINANCIAL | SCOTT STEPHAN IFS | PORTSIDE WEALTH GROUP, LLC | PODUNK FINANCIAL | OXFORD WEALTH ADVISORS | OXFORD FINANCIAL GROUP | MCKELL PARTNERS | LEGACY WEALTH INVESTMENT COUNSEL | JOHNSTONROGERS | JEFFREY R WANGSGARD AND ASSOCIATES | HURST FINANCIAL CONSULTING | HUDSON OAKS WEALTH MANAGEMENT | GREEN STREET WEALTH ADVISORS | FRONTIER ADVISOR GROUP | FINANCIAL FOUNDATIONS | DOLEMAN WEALTH MANAGEMENT | CAPITAL PROTECTION INSURANCE | CANYON STRATEGIC WEALTH GROUP | CACHE FINANCIAL | BRIGHTSIDE WEALTH MANAGEMENT | BREVITY WEALTH SOLUTIONS | AVENTUS WEALTH
CRD#: 325175 / SEC#: 801-127529
RIA
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Contact information
Main Address
3507 N University Ave Suite 150, Provo, UT 84604
Mailing Address
Phone number
(385) 412-1222
Established
Firm type
Fiscal year end
# of Employees
47
SEC notice filing (37 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,507 |
| AUM (Assets Under Management) | $ 1,125,318,236 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
