Dave Jonathan Guzman
Investment Adviser Representative at Northwestern Mutual Investment Services,llc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Dave Jonathan Guzman is an investment adviser representative with Northwestern Mutual Investment Services,llc in Irvine, CA, where they have been registered since 2024. They have worked in the securities industry since 2023 and were previously registered with Oneamerica Securities, Inc. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in California.
Office
Advisors at this office: 9
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lake Forest BankruptcyOct 2018 – Dec 2020Laguna Hills, CA
- Taylor Insurance and Financial ServicesApr 2023 – Mar 2024Pasadena, CA
- One Pacific OneAmericaDec 2020 – Apr 2023Carlsbad, CA
- Green Steel and Albrecht LLPApr 2016 – Oct 2018Irvine, CA
- Wells Fargo Clearing Services LLCDec 2019 – Jan 2020Irvine, CA
- Northwestern Mutual Investment Services LLCMay 2024 – no end date reportedIrvine, CA
- Joshua ButtreyApr 2024 – no end date reportedIrvine, CA
- Timothy MulroyApr 2024 – no end date reportedIrvine, CA
- Tyler TerryApr 2024 – no end date reportedIrvine, CA
- Northwestern Mutual Wealth Management CompanyJul 2024 – no end date reportedMilwaukee, WI
- Chad A ShawAug 2025 – no end date reportedIrvine, CA
- Thomas A MillerAug 2025 – no end date reportedIrvine, CA
- Henry SladekAug 2025 – no end date reportedIrvine, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northwestern Mutual Investment Services,llc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Unknown
Client types the firm serves
Unknown
Firm assets under management
Unknown
- Firm disclosures (Form ADV)
- Unknown
Source: firm Form ADV filing
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Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Dave Jonathan Guzman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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