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Nicholas James Guzman

Charles Schwab & CO., Inc.

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About Nicholas James Guzman

Nicholas Guzman is a registered investment advisor representative with Charles Schwab & CO., Inc. Nicholas has been in the industry for over 2 years, with experience in a variety of roles at different organizations, including U.S. Bank, U.S. Bancorp Investments, Inc., and USPS. Nicholas holds the Series 63, Series 65, and Series 7TO licenses, as well as the SIE exam. Nicholas specializes in providing financial planning services. In addition to Nicholas's investment advisory work, Nicholas also manages rental properties.

Firm Information

Nicholas Guzman is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Nicholas Guzman’s Registration & Firm History

KY

02/13/2025 - Present

Charles Schwab & CO., Inc. (Fort Mitchell KY)

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Licenses & Designations

IA

Issued 10/04/2023

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/25/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/22/2023

Series 7TO - General Securities Representative Examination

BC

Issued 04/30/2022

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 05/19/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Nicholas James Guzman.
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