Compliance

Guzman & Company maintains the highest professional and ethical standards. In its nearly three decades of operation, the firm has not had a single customer complaint or regulatory infraction involving a customer. The firm's compliance team is responsible for fostering, maintaining, and supervising a culture of compliance that permeates everything we do. We value the trust between the financial industry and the investing public and that respect shapes our work.

SEC Rule 606 Disclosure: Guzman & Company prepared this report SEC Rule 606 Report pursuant to a U.S. Securities and Exchange Commission rule requiring all brokerage firms to make publicly available quarterly reports on their order routing practices. The report provides information on the routing of “non-directed orders” — any order that the customer has not specifically instructed to be routed to a particular venue for execution. For these non-directed orders, Guzman & Company selected the execution venue on behalf of its customers.

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Guzman & Company is a boutique investment bank and institutional brokerage firm that provides capital market solutions to targeted corporate, governmental and institutional clients across the globe.

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