Carlos Guzman
Carlos Guzman is a registered investment advisor at Regal Investment Advisors LLC, based in West Covina, CA, with 9 years of industry experience. Carlos operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 8,302 clients with $2.9B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 1.00% |
Fees typically range from 0.30% to 1.00% per annum depending on account value and strategy composition. Fees and payment arrangements are negotiable on a case-by-case basis.
Fee Estimator
Location
1050 Lakes Drive, #225, West Covina, CA, 91790
Get directionsHistory
Regulatory History (1)
Judgment / Lien
January 2004Other Business ActivitiesSells Insurance
Carlos is the president of CKG Insurance Agency Inc. since 2016, selling life insurance products and fixed/indexed annuities, dedicating nearly full-time hours to this activity.
Employment History
Current Registrations
Regal Investment Advisors LLC
Previous Registrations
Brookstone Capital Management LLC
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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