Carlos Guzman
Carlos Guzman is a registered investment advisor at Regal Investment Advisors LLC, based in West Covina, CA, with 8 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 7,859 clients with $2.4B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LionShare charges an investment management fee that typically ranges from 0.30% to 1.00% per year, depending on the value of your account and the strategies used by your financial advisor. This fee is deducted directly from your account quarterly, in advance. The total advisory fee you pay includes LionShare's fee plus the fees charged by your financial advisor. Fees and payment arrangements are negotiable and vary on a case-by-case basis when LionShare is used by a primary financial advisor.
Location
1050 Lakes Drive, #225, West Covina, CA, 91790
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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.