Michael Jay Guzik
Professional Summary
Michael Jay Guzik, who also goes by Mike Guzik, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1976 - 2003. Michael had worked at 10 firms and has passed the Series 63, Series 7, Series 8, Series 4, Series 27 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Mike Guzik
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
50 years in the financial services industry
Current & Past Employments
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Current Firm
PRENTICE - DOMINICK SECURITIES, INC. | SJV SECURITIES, INC. | PRENTICE SECURITIES, INCORPORATED | PRENTICE SECURITIES INC.
Contact Information
Established
New York since 06/30/1988Firm Type
CorporationFiscal Year End
SeptemberDocuments
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
6Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Apr 1993Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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