Malgorzata Guziak

THRIVE CAPITAL MANAGEMENT

Fort Washington, PA 19034

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CRD#: 7441281

Professional summary

Malgorzata Guziak, CFP®, who also goes by Gosia Guziak, is a registered financial advisor currently at THRIVE CAPITAL MANAGEMENT, LLC located in Fort Washington, Pennsylvania.

Malgorzata is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Malgorzata has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gosia Guziak

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.

1. Notary Public 2. Not investment related 3. N/A 4. Notary Public 5. Notary Public 6. 5/2020 7. 1 hr/mo 8. 1 hr during securities trading 9. Notarize documents for clients 10. No compensation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malgorzata Guziak'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®

CFP^®

Certified Financial Planner

Start date: 2023

Experience

Current

June 6, 2024 - Present

THRIVE CAPITAL MANAGEMENT, LLC

Office #1: 500 W Office Center Drive Suite 300, Fort Washington, PA 19034

RIA

CRD#: 281347

Fort Washington, PA

Past

August 29, 2022 - May 28, 2024

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Moorestown, NJ

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".

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

New Jersey
(6/26/2024)

IAR

Pennsylvania
(6/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/29/2022

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 8/29/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 4/15/2022

Securities Industry Essentials Examination

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

OPTIMAL WEALTH SERVICES | THRIVE CAPITAL MANAGEMENT, LLC

CRD#: 281347 / SEC#: 801-119936

RIA

Registered Investment Advisory firm - (12/7/2020 Approved)

Florida

Registered Investment Advisory firm - (12/10/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/31/2020 Terminated)

Pennsylvania

Registered Investment Advisory firm - (12/11/2020 Terminated)

Texas

Registered Investment Advisory firm - (12/10/2020 Terminated)

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Contact information

Main Address

500 W Office Center Drive Suite 300, Fort Washington, PA 19034

Mailing Address

Phone number

(800) 516-5861

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,494
AUM (Assets Under Management)	$ 397,680,145

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.

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Malgorzata Guziak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Malgorzata Guziak's CRS (Customer Relationship Summary).

Certified licenses

Experience

THRIVE CAPITAL MANAGEMENT, LLC

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

THRIVE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/29/2022

Series 7TO

Date: 8/29/2022

SIE

Date: 4/15/2022

Current Firm

THRIVE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THRIVE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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