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LT

Luis A. Toribio

GUZMAN & COMPANY
Coral Gables, FL 33134-5426
Some features on this profile are disabled
CRD#: 6248172
LT

Professional summary

Luis A Toribio is a registered financial professional currently at GUZMAN & COMPANY located in Coral Gables, Florida.

Luis is registered as a RR (Registered Representative) and started their career in finance in 2013. Luis has worked at 1 firm and has passed the SIE, Series 7, Series 99, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Luis A Toribio'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®
None

Experience

Current

November 19, 2013 - Present

GUZMAN & COMPANY

Office #1: 101 Aragon Avenue, Coral Gables, FL 33134-5426Office #2: 101 Aragon Avenue, Coral Gables, FL 33134
BD
CRD#: 21013
Coral Gables, 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
(11/21/2013)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/2/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 99
Date: 11/18/2013
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 14
Date: 12/5/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/20/2016
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC

Current Firm

G&
GUZMAN & COMPANY
GUZMAN & COMPANY

CRD#: 21013 / SEC#: , 8-38646

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

Main Address
101 Aragon Avenue, Coral Gables, FL 33134-5426
Mailing Address
101 Aragon Avenue, Coral Gables, FL 33134-5426
Phone number
(305) 374-3600
Established
Florida since 01/28/1987
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (25 States and Territories)

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

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
GUZMAN, LEOPOLDO EUGENIOPRESIDENT AND OWNER
BAZYLEWICZ, PETER MICHAELCHIEF OPERATING OFFICER2142678
GUZMAN, SUSAN COVERTCORPORATE SECRETARY AND DIRECTOR1750039
MILLER, ALEXIS GUZMANCHIEF FINANCIAL OFFICER, POO, PFO5014670
TORIBIO, LUIS ACHIEF COMPLIANCE OFFICER6248172

Disclosures

Regulatory Event5

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

GUZMAN & COMPANY

CRD#: 21013Coral Gables, FL 33134-5426

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