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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

ROLANDO V GUZMAN

Advisor at MORGAN STANLEY

Rockville, MD | Palm Beach, FL

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Search this name across graphsid dfx:ria:efad6283-e281-39a5-01cb-e428719655da

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 5:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 22, 2006 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 4, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S63|S65
First exam: Aug 4, 2001
First registration: Sep 22, 2006
Dual registered: yes, broker-dealer
Other names: RON GUZMAN|ROLANDO VILLANUEVA GUZMAN|ROLANDO V GUZMAN
IAPD individual key: 2805680

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Sep 2, 2022	n/a	yes	Palm Beach, FL\|Rockville, MD	Current employment
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Apr 17, 2014	Sep 6, 2022	no	WASHINGTON, DC	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Aug 22, 2007	Apr 25, 2014	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Apr 2, 2007	Aug 24, 2007	no	WASHINGTON, DC	Previous registration
MORGAN STANLEY DW INC.	n/a	Sep 22, 2006	Apr 2, 2007	no	WASHINGTON, DC\|WASHINGTON, DC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORGAN STANLEY	Sep 6, 2022	Sep 2, 2022	-4	Firm change	Wirehouse to wirehouse
UBS FINANCIAL SERVICES INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Apr 25, 2014	Apr 17, 2014	-8	Firm change	Wirehouse to wirehouse
MORGAN STANLEY & CO. LLC	UBS FINANCIAL SERVICES INC.	Aug 24, 2007	Aug 22, 2007	-2	Firm change	Other
MORGAN STANLEY DW INC.	MORGAN STANLEY & CO. LLC	Apr 2, 2007	Apr 2, 2007	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
7691:149777:DC:2022-09-06	Sep 6, 2022	Sep 2, 2022	WASHINGTON, DC	Firm change

Relationships

Registered with (5)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Sep 2, 2022 to presentfactForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Apr 17, 2014 to Sep 6, 2022factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Aug 22, 2007 to Apr 25, 2014factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Apr 2, 2007 to Aug 24, 2007factForm ADV
→ MORGAN STANLEY DW INC.Registered adviserregistration: previous registration
Sep 22, 2006 to Apr 2, 2007factForm ADV

Dated events

Occurred
Sep 6, 2022
Advisor changed firm
Rolando V Guzman left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Morgan Stanley (registered 2022-09-02)
Form ADVobserved 4 days ago