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BROOKS RICOH GUZMAN
BROOKS GUZMAN
CRD#: 7481659
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 1520 MAIN ST, STE 201
WARRINGTON, PA 18976-3406
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 1520 MAIN ST, STE 201
WARRINGTON, PA 18976-3401
Registration History
202220232024202520262 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Delaware 10/9/2023

IA
Pennsylvania 10/25/2023

B
Florida 10/9/2023

B
Puerto Rico 1/6/2025

B
Illinois 1/6/2025

B
South Carolina 2/6/2025

B
Maryland 2/6/2025

B
Texas 10/9/2023

B
New Jersey 10/9/2023

IA
Texas 10/25/2023

B
Pennsylvania 10/9/2023

SRO Registrations

B
FINRA

B
New York Stock Exchange

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)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
1520 MAIN ST, STE 201, WARRINGTON, PA 18976-3406
Registered with this firm since 10/25/2023

B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
1520 MAIN ST, STE 201, WARRINGTON, PA 18976-3401
HUNTINGDON VALLEY, PA
Registered with this firm since 10/9/2023

Previous Registration(s)
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IA
04/26/2022 - 10/04/2023 VANGUARD ADVISERS, INC. (CRD#:106715) MALVERN, PA
B
02/24/2022 - 10/04/2023 VANGUARD MARKETING CORPORATION (CRD#:7452) MALVERN, PA
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B
Broker
IA
Investment Adviser
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.