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Guzman & Company.

Guzman & Company is a member of NASD, the National Association of Securities Dealers. NASD is a self-regulatory organization of the securities industry responsible for the operation and regulation of the NASDQ stock market and over the counter markets. It also administrates exams for the investments professionals, such as the series of 7 exams.

Guzman & Company was founded in 1987 with a vision to integrate the most advanced trading technology with highly-motivated, skilled employees working in an entrepreneurial environment. Today, Guzman is one of the nation’s leading investment banks, providing creative global execution solutions to institutional investors.

Guzman & Company's directed brokerage programs provide their institutional clients and plan sponsors the ability to time after time lower commission costs and enhance performance. You receive more value from your commission dollars as these recaptured and soft dollar credits work directly to the benefit of your portfolio.

Their soft-dollar program is another feature of their commitment to providing a full spectrum of value-added brokerage services to their clients. And again, as an agency-only broker, their business is transparent and solely focused on the interests of their plan sponsors and investment managers.

Guzman & Company has consistently met the demands of the investment community's requirements for soft dollars. As their client, you decide what percent of your commissions you want to allocate for soft-dollar services, their soft-dollar program, which meets all the requirements of the safe harbor of the Securities and Exchange Act of 1934 section 28e. Detailed monthly statements show reconciliation and reporting of all directed trades-ensuring that every soft dollar is being applied towards your approved research vendor or other brokerage services.

Their GTS platform enables their traders to access to multiple liquidity pools, reducing market impact, maximizing trading performance and lowering transaction costs. Monitoring each aspect of a portfolio, they are committed to providing their clients with quality brokerage on every level, from trading, technology and research to clearing and settlement.

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