Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lee? Claim Your ProfileLee Guzman has been in the financial services industry since January 21, 2003. Lee is currently registered with Morgan Stanley and has been with the firm since June 2009. Before that, Lee was with CITIGROUP GLOBAL MARKETS INC. from February 24, 2004 until June 1, 2009. Prior to that, Lee was with AMERICAN EXPRESS FINANCIAL ADVISORS INC. from January 8, 2003 to September 8, 2003.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
07/20/2011 - Present
Morgan Stanley (San Diego CA)
CA
02/24/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
MN
01/08/2003 - 09/08/2003
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
01/08/2003 - 09/08/2003
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
CA
09/27/2000 - 02/28/2001
TRADEPORTAL SECURITIES, INC. (ALISO VIEJO CA)
BOTH
Issued 01/31/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/27/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/26/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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