The firm’s compliance department conducts regular and rigorous reviews of its clients’ trades and its registered representatives. The department:

• reviews riskless principal/ agency transactions;
• approves, reviews, and records all client transactions;
• implements Anti Money Laundering (AML) program, Customer Due Diligence (CDD), and Enhanced due diligence (EDD) policies and procedures;
• and, reviews all registered representative activities and ensures that all representatives follow the Firm’s Written Supervisory Procedures.

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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BCP Disclosure

Guzman & Company has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us– If after a significant business disruption you cannot contact us as you usually do at compliance@www.guzman.com. If you cannot access us through either of those means, you should contact our clearing firm, Merrill Lynch Broadcort at  for instructions.

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business. In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

• Our business continuity plan addresses: data backup and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.
• Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. Within each of these areas, the severity of the disruption can also vary from minimal to severe.
• For more information – If you have questions about our business continuity planning, you can contact Guzman & Company’s compliance Department at compliance@www.guzman.com.