Carlos A. Guzman Morales
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carlos Alberto Guzman Morales, CFP®, who also goes by Carlos Alberto Guzman, was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2015. Carlos had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2018 - May 26, 2021
HOMRICH BERG
May 24, 2017 - August 23, 2018
ALLIANCEBERNSTEIN L.P.
May 9, 2017 - August 23, 2018
SANFORD C. BERNSTEIN & CO., LLC
February 9, 2016 - May 5, 2017
MML INVESTORS SERVICES, LLC
June 16, 2015 - May 5, 2017
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
HOMRICH BERG
CRD#: 108189 / SEC#: 801-35646
Contact information
Red Flags
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