Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dave? Claim Your ProfileDave Guzman is a financial professional with a focus on investment services. Dave has been in the industry since 2021 and is currently registered with Northwestern Mutual Investment Services, LLC. Dave also has prior experience with ONEAMERICA SECURITIES, INC. Dave holds the Series 66, Series 7TO, and SIE licenses. Dave is registered to provide investment advice in California. Dave's current firm has over 2,000 employees and services a wide range of clients including banking or thrift institutions.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
CA
06/14/2024 - Present
Northwestern Mutual Investment Services, LLC (Irvine CA)
CA
03/08/2022 - 04/19/2023
ONEAMERICA SECURITIES, INC. (Carlsbad CA)
BOTH
Issued 07/26/2022
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/08/2022
Series 7TO - General Securities Representative Examination
BC
Issued 05/29/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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