Michael J. Guzik
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.
Michael Jay Guzik, who also goes by Mike Guzik, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 10 firms and has passed the Series 63, Series 7, Series 8, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 1992 - August 4, 2003
PRENTICE SECURITIES, INCORPORATED
June 5, 1992 - June 22, 1992
DMG SECURITIES, INC.
December 11, 1990 - April 2, 1991
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 13, 1990 - June 25, 1990
SHEEN FINANCIAL RESOURCES, INC.
May 31, 1989 - July 27, 1989
FIRST AFFILIATED SECURITIES
March 14, 1989 - July 27, 1989
FIRST AFFILIATED SECURITIES
December 12, 1988 - August 22, 1989
WORLDMARK SECURITIES, INC.
October 28, 1988 - May 31, 1989
FIRST AFFILIATED SECURITIES, INC.
June 27, 1984 - March 1, 1988
BARNETT INVESTMENTS, INC.
September 18, 1978 - June 21, 1982
G.C.N. CORP.
July 22, 1976 - October 2, 1977
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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 8
Date: 4/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
PRENTICE SECURITIES, INCORPORATED
CRD#: 22897 / SEC#: , 8-40036
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TIERNEY, MICHAEL EDWARD | PRESIDENT/CEO/DIRECTOR | 804928 |
| MULLINS, NANCY | SHAREHOLDER | 342604 |
| DOMINICK & DOMINICK, INCORPORATED | SHAREHOLDER | |
| AVALON INVESTMENT ASSOCIATES INC | SHAREHOLDER | |
| BALUYO, CATHERINE ANN | SECRETARY | 2188043 |
| BOSWELL, JOHN DOUGLAS | SHAREHOLDER/COMPLIANCE DIR/CFO | 1031653 |
| BURKE, BARBARA JANE | SHAREHOLDER | 1242140 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
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.
