RG
RG
Roberto Guzman is a registered investment advisor, based in Cerritos, CA, with 21 years of industry experience.
Location
10900 E. 183rd Street, Suite 280, Cerritos, CA, 90703
Get directionsHistory
Regulatory History (1)
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Customer Dispute
June 2022Closed-No Action
Other Business ActivitiesSells Insurance
Roberto is an advisor with RG Wealth Management and Kestra Advisory Services, providing investment advisory services and registered rep activities. He also owns rental property and refers clients to ADP for payroll services, and owns New Growth Financial, where he provides financial planning and investment services, and insurance.
Employment History
Current Registrations
Kestra Investment Services, LLCBroker
March 2017 - Present · 9 yrs 2 mos
Kestra Advisory Services, LLC
March 2017 - Present · 9 yrs 2 mos
Previous Registrations
LPL Financial LLC
October 2010 - March 2017 · 6 yrs 5 mos
LPL Financial LLCBroker
October 2010 - March 2017 · 6 yrs 5 mos
Ameriprise Financial Services, INC.
October 2004 - October 2010 · 6 yrs
Ameriprise Financial Services, INC.Broker
September 2004 - October 2010 · 6 yrs 1 mo
Ids Life Insurance CompanyBroker
September 2004 - July 2006 · 1 yr 10 mos
State Registrations14 states
AZCACOIDKSLAMAMINCORPASCTXUT
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.