Individual Firm
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MILTON KENNETH GUZMAN
MILTON K GUZMAN
CRD#: 5797511
IA
B
ADVANTAGE WEALTH ADVISORSCRD#: 280028 3189 DANVILLE BLVD. SUITE 280
ALAMO, CA 94507
ALAMO, CA 94507
LPL FINANCIAL LLCCRD#: 6413 3189 DANVILLE BLVD SUITE 280
ALAMO, CA 94507
ALAMO, CA 94507
0
Disclosures
14
Years of Experience
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State Registrations
B
California 3/11/2015
B
Texas 10/10/2016
IA
California 10/5/2015
IA
Texas 12/13/2017
B
Idaho 3/11/2015
B
Washington 6/29/2016
B
Oregon 6/29/2016
SRO Registrations
B
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IA
Registered with this firm since 10/5/2015
B
Registered with this firm since 3/11/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/12/2015 - 07/20/2017 | ALAMO, CA | |
IA | 07/18/2013 - 04/02/2015 | ALAMO, CA | |
B | 07/15/2013 - 03/16/2015 | ALAMO, CA | |
IA | 08/02/2011 - 05/21/2013 | WALNUT CREEK, CA | |
B | 08/02/2011 - 05/21/2013 | WALNUT CREEK, CA | |
IA | 09/02/2010 - 07/01/2011 | WALNUT CREEK, CA | |
B | 06/29/2010 - 07/01/2011 | WALNUT CREEK, CA |
WALNUT CREEK, CA
08/02/2011 - 05/21/2013
WALNUT CREEK, CA
08/02/2011 - 05/21/2013
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.