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RIA / WealthAdvisor11 years in industry

Jeffrey Nicholas Guzzi

Advisor at FISHER INVESTMENTS

PLANO, TX | Tampa, FL

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Search this name across graphsid dfx:ria:fa85ef8d-9ec2-9740-3382-560f25c389c3

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Sep 20, 2016 to Sep 14, 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: FISHER INVESTMENTS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 1, 2015earliest registration or exam on IAPD
Years in industry: 11derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Sep 13, 2016
First registration: Sep 20, 2016
Dual registered: no
Other names: JEFF GUZZI|Jeffrey Nicholas Guzzi|Jeffrey Guzzi
IAPD individual key: 6708996

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
FISHER INVESTMENTS	Independent wealth	Mar 12, 2024	n/a	yes	PLANO, TX\|Tampa, FL	Current employment
MORNINGSTAR INVESTMENT SERVICES LLC	Former SEC adviser	Mar 17, 2021	Feb 9, 2024	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 21, 2017	May 1, 2019	no	LEAWOOD, KS\|CHICAGO, IL	Previous registration
LCM CAPITAL MANAGEMENT INC	Independent wealth	Sep 20, 2016	Mar 2, 2017	no	CHICAGO, IL	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
MORNINGSTAR INVESTMENT SERVICES LLC	FISHER INVESTMENTS	Feb 9, 2024	Mar 12, 2024	32	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	MORNINGSTAR INVESTMENT SERVICES LLC	May 1, 2019	Mar 17, 2021	686	Firm change after gap	Wirehouse to RIA
LCM CAPITAL MANAGEMENT INC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 2, 2017	Mar 21, 2017	19	Firm change	Other

Relationships

Registered with (4)

→ FISHER INVESTMENTSRegistered adviserregistration: current employment
Mar 12, 2024 to presentfactForm ADV
→ MORNINGSTAR INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Mar 17, 2021 to Feb 9, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 21, 2017 to May 1, 2019factForm ADV
→ LCM CAPITAL MANAGEMENT INCRegistered adviserregistration: previous registration
Sep 20, 2016 to Mar 2, 2017factForm ADV

Dated events

Occurred
Feb 9, 2024
Advisor changed firm
Jeffrey Nicholas Guzzi left Morningstar Investment Services Llc for Fisher Investments (registered 2024-03-12)
Form ADVobserved 4 days ago