Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Allison? Claim Your ProfileAllison Guzman is a financial advisor with over 20 years of experience in the financial industry. Allison is a registered representative of Raymond James & Associates, Inc. and holds Series 7, Series 63 and Series 65 licenses. Previously, Allison has worked for Wells Fargo Clearing Services, LLC, C.E. Unterberg, Tobin, LLC, Spencer Clarke LLC, Josephthal & Co., Inc., FleetBoston Robertson Stephens Inc., and Needham & Company, Inc. Allison's expertise includes providing portfolio management for individuals and businesses, financial planning, pension consulting, and selection of other advisors.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
07/05/2018 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
03/17/2006 - 07/03/2018
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
03/01/2004 - 03/17/2006
C.E. UNTERBERG, TOWBIN, LLC. (NEW YORK NY)
FL
12/19/2003 - 02/25/2004
SPENCER CLARKE LLC (MIAMI BEACH FL)
NY
08/01/2000 - 11/02/2001
JOSEPHTHAL & CO., INC. (NEW YORK NY)
CA
03/25/1999 - 07/14/2000
FLEETBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
NY
04/30/1997 - 05/21/1998
NEEDHAM & COMPANY, INC. (NEW YORK NY)
IA
Issued 09/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Allison Guzman is the right advisor for you? Invested Better is here to help.
