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JG

Johanna Guzman

BLUE OWL SECURITIES
Short Hills, NJ 07078
Some features on this profile are disabled
CRD#: 7344451
JG

Professional summary

Johanna Guzman is a registered financial professional currently at BLUE OWL SECURITIES located in Short Hills, New Jersey.

Johanna is registered as a RR (Registered Representative) and started their career in finance in 2022. Johanna has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE 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 Johanna 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

September 2, 2025 - Present

BLUE OWL SECURITIES

Office #1: 51 John F. Kennedy Parkway, Short Hills, NJ 07078
BD
CRD#: 283250
Short Hills, NJ
Past

August 19, 2022 - September 3, 2025

BARON CAPITAL, INC.

BD
CRD#: 10538
NEW YORK, NY

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
Connecticut
(9/2/2025)
RR
New Jersey
(9/2/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/8/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/14/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 8/19/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2022
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BO
BLUE OWL SECURITIES
BLUE OWL SECURITIES | OWL ROCK SECURITIES | OWL ROCK CAPITAL SECURITIES LLC | BLUE OWL SECURITIES LLC

CRD#: 283250 / SEC#: , 8-69744

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

Main Address
375 Park Avenue, New York, NY 10152
Mailing Address
375 Park Avenue 4th Floor, New York, NY 10152
Phone number
(212) 419-3000
Established
Delaware since 12/17/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 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#
BLUE OWL CAPITAL GROUP LLCSOLE MEMBER
AMATO, KERRI ANNCHIEF COMPLIANCE OFFICER4710835
CONNOR, SEAN RICHARDPRESIDENT AND CHIEF EXECUTIVE OFFICER6019182
DIRESTA, ANDREWFINOP7459031

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

BLUE OWL SECURITIES

CRD#: 283250Short Hills, NJ 07078

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