Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rolando? Claim Your ProfileRolando V Guzman is a financial advisor with over 20 years of experience in the industry. Rolando is registered with Morgan Stanley and has previously been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., and Morgan Stanley & Co., Incorporated. Rolando is a Series 7, Series 63, and Series 65 licensed professional and has passed the Securities Industry Essentials Examination. Rolando currently holds registrations in 40 states for securities and in 3 states for investment advisory.
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
FL
09/02/2022 - Present
Morgan Stanley (Palm Beach FL)
DC
04/17/2014 - 09/06/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
DC
08/22/2007 - 04/25/2014
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
04/02/2007 - 08/24/2007
MORGAN STANLEY & CO., INCORPORATED (WASHINGTON DC)
DC
03/01/2000 - 04/02/2007
MORGAN STANLEY DW INC. (WASHINGTON DC)
IA
Issued 07/14/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/29/2000
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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