Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Adrian? Claim Your ProfileAdrian Guzman is a financial advisor at Wells Fargo Clearing Services, LLC. Adrian is registered with the state of California as a Registered Representative and Investment Advisor Representative. Adrian has been in the financial services industry since 2012. Adrian has a Series 6, 7, 63 and 66 licenses. Adrian is also licensed in Florida, Hawaii, Montana and South Carolina. Adrian is a member of FINRA. Adrian’s previous experience includes working at JP Morgan Securities LLC. Adrian offers investment consulting services to institutional clients. Adrian also provides financial planning services to individuals and businesses. Adrian has worked with individuals, high net worth individuals, corporations, pension and profit sharing plans, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
04/29/2022 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
11/20/2012 - 04/30/2022
J.P. MORGAN SECURITIES LLC (PORTER RANCH CA)
BOTH
Issued 10/05/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/29/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/01/2016
Series 7 - General Securities Representative Examination
BC
Issued 11/19/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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