Brian A. Guilliom

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CRD#: 1472349

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Brian Anthony Guilliom, CFP®, who also goes by Brian A Guilliom, was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1986. Brian had worked at 3 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Brian A Guilliom

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FARMER(TOBACCO, CATTLE) & PRESIDENT, OF EQUITY ADVISORS OF KY, INC. AN RIA

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1988

Experience

Past

July 26, 2019 - July 20, 2023

EQUITY ADVISORS OF KENTUCKY INC

RIA

CRD#: 116398

WADDY, KY

Past

November 12, 2009 - December 31, 2018

EQUITY ADVISORS OF KENTUCKY INC

RIA

CRD#: 116398

WADDY, KY

Past

July 31, 1999 - October 27, 2000

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

April 15, 1986 - January 7, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EQUITY ADVISORS OF KENTUCKY INC

CRD#: 116398 / SEC#: 801-112311

RIA

Registered Investment Advisory firm - (1/12/2018 Approved)

Kentucky

Registered Investment Advisory firm - (3/22/2018 Terminated)

Michigan

Registered Investment Advisory firm - (3/23/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/9/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Current Firm

EQUITY ADVISORS OF KENTUCKY INC

CRD#: 116398 / SEC#: 801-112311

RIA

Registered Investment Advisory firm - (1/12/2018 Approved)

Kentucky

Registered Investment Advisory firm - (3/22/2018 Terminated)

Michigan

Registered Investment Advisory firm - (3/23/2018 Terminated)

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Contact information

Main Address

2201 Regency Road Suite 504, Lexington, KY 40503

Mailing Address

Phone number

(502) 829-9244

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EAK ADV PART 2 BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 124,997,429

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/24/2025	Cover Page	Report
06/03/2024	Cover Page	Report
06/03/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Brian A. Guilliom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EQUITY ADVISORS OF KENTUCKY INC

EQUITY ADVISORS OF KENTUCKY INC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

EQUITY ADVISORS OF KENTUCKY INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/9/2009

Series 63

Date: 3/26/1986

Series 7

Date: 3/15/1986

Current Firm

EQUITY ADVISORS OF KENTUCKY INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EQUITY ADVISORS OF KENTUCKY INC

TRUST BUT VERIFY

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