Alexander J. Guzman
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.
Alexander Joseph Guzman, who also goes by Alex Guzman, Alexander J Guzman, was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 2021. Alexander had worked at 2 firms and has passed the Series 63, Series 3, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 9, 2025 - June 2, 2026
TRADESTATION SECURITIES, INC.
September 24, 2021 - February 16, 2022
E*TRADE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 6/9/2025
General Securities Representative ExaminationCurrent Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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