Nicholas James Guzman
Investment adviser representative at Charles Schwab & Co., Inc.
12 yearsExperience
1 stateRegistered in
$0Firm assets
39 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Fixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
Experience
12 years in the industry.
- Charles Schwab & Co., Inc.Dec 2024 to now
- U.S. Bancorp Investments, Inc.Mar 2022 to Dec 2024
- U.S. BankAug 2021 to Jun 2023
- Btfb AgencyApr 2019 to Aug 2021
- Jackson HewittJan 2019 to Apr 2019
- UspsDec 2018 to Jan 2019
- UnemployedAug 2018 to Nov 2018
- Ucsd RimacApr 2016 to Aug 2018
- UcsdOct 2014 to Aug 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 65 · Uniform Investment Adviser Law2023
State registrations
Registered as an investment adviser representative in 1 state (KY).
Charles Schwab & Co., Inc.
$0Assets managed
0Clients
6,777Advisers
39 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7521394
- Firm CRD
- 5393