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Detailed Report
ADRIANA GENOVEFFA GUEZ
ADRIANA G CIMINI, ADRIANA GENOVEFFA CIMINI, Adriana Cimini, Adriana G Guez, Adriana GENOVEFFA Guez
CRD#: 2797766
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Investment Adviser
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Broker
CHARLES SCHWAB & CO., INC.CRD#: 5393 9800 Schwab Way
Lone Tree, CO 80124
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2017 - 2017 (<1 year)2 FIRMS2017 - Present (7 years)BGWFS EQUITIES, INC. (CRD# 13109)2016 - 2017 (<1 year)BCUSO FINANCIAL SERVICES, L.P. (CRD# 42132)2014 - 2016 (1 year)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2006 - 2008 (1 year)BBEAR, STEARNS & CO. INC. (CRD# 79)2000 - 2001 (1 year)BH.C. WAINWRIGHT & CO., INC. (CRD# 375)1999 - 2000 (<1 year)BBANCBOSTON ROBERTSON STEPHENS INC. (CRD# 41271)1997 - 1999 (2 years)IACUSO FINANCIAL SERVICES, L.P. (CRD# 42132)2015 - 2016 (<1 year)
License(s)

State Registrations

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Alabama 8/22/2024
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Montana 8/22/2024
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Alaska 8/22/2024
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Nebraska 8/22/2024
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Arizona 8/22/2024
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Nevada 8/22/2024
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Arkansas 8/22/2024
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New Hampshire 8/22/2024
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California 6/28/2017
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New Jersey 8/22/2024
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Colorado 6/28/2017
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New Mexico 8/22/2024
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Colorado 6/28/2017
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New York 8/22/2024
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Connecticut 8/22/2024
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North Carolina 8/22/2024
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Delaware 8/22/2024
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North Dakota 8/22/2024
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District of Columbia 8/22/2024
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Ohio 8/22/2024
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Florida 8/22/2024
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Oklahoma 8/22/2024
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Georgia 8/22/2024
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Oregon 8/22/2024
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Hawaii 8/22/2024
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Pennsylvania 8/22/2024
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Idaho 8/22/2024
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Puerto Rico 8/22/2024
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Illinois 8/22/2024
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Rhode Island 8/22/2024
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Indiana 8/22/2024
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South Carolina 8/22/2024
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Iowa 8/22/2024
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South Dakota 8/22/2024
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Kansas 8/22/2024
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Tennessee 8/22/2024
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Kentucky 8/22/2024
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Texas 8/22/2024
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Louisiana 8/22/2024
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Utah 8/22/2024
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Maine 8/22/2024
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Vermont 8/22/2024
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Maryland 8/22/2024
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Virgin Islands 8/22/2024
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Massachusetts 8/22/2024
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Virginia 8/22/2024
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Michigan 8/22/2024
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Washington 8/22/2024
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Minnesota 8/22/2024
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West Virginia 8/22/2024
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Mississippi 8/22/2024
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Wisconsin 8/22/2024
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Missouri 8/22/2024
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Wyoming 8/22/2024

SRO Registrations

B
 FINRA
B
 Nasdaq Stock Market

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 6/28/2017
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CHARLES SCHWAB & CO., INC. (CRD#:5393)
9800 Schwab Way, Lone Tree, CO 80124
Registered with this firm since 6/28/2017
Previous Registration(s)
th hidden textth hidden textNameLocation
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 04/05/2017 - 04/27/2017 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) Denver, CO
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 04/03/2017 - 04/25/2017 BBVA SECURITIES INC. (CRD#:27060) DENVER, CO
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 05/02/2016 - 01/06/2017 GWFS EQUITIES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
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 07/07/2015 - 05/02/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Denver, CO
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 10/14/2014 - 05/02/2016 CUSO FINANCIAL SERVICES, L.P. (CRD#:42132) Denver, CO
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 08/08/2006 - 07/22/2008 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) DENVER, CO
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 05/16/2000 - 08/15/2001 BEAR, STEARNS & CO. INC. (CRD#:79) NEW YORK, NY
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 09/28/1999 - 04/20/2000 H.C. WAINWRIGHT & CO., INC. (CRD#:375) NEW YORK, NY
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 02/13/1997 - 06/29/1999 BANCBOSTON ROBERTSON STEPHENS INC. (CRD#:41271) SAN FRANCISCO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.