Guy Anthony Harrigan | Financial Professional

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.

Guy Anthony Harrigan, who also goes by Anthony Harrigan, G Anthony Harrigan, G. A Harrigan, Guy A Harrigan, Guy Anthony Harrigan, was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 1988. Guy had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

Anthony Harrigan | G Anthony Harrigan | G. A Harrigan | Guy A Harrigan | Guy Anthony Harrigan

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.

The advisor shows no other business activity.

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®

None

Experience

Past

January 12, 2024 - January 29, 2026

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

Boulder, CO

Past

May 21, 2020 - January 6, 2024

CSENGE ADVISORY GROUP, LLC

RIA

CRD#: 131167

Boulder, CO

Past

October 6, 2016 - September 18, 2023

LION STREET ADVISORS, LLC

RIA

CRD#: 167610

Boulder, CO

Past

October 6, 2016 - September 18, 2023

LION STREET FINANCIAL, LLC

BD

CRD#: 165828

Boulder, CO

Past

April 2, 2013 - October 7, 2016

TRIAD ADVISORS LLC

RIA

CRD#: 25803

Boulder, CO

Past

April 1, 2013 - October 7, 2016

TRIAD ADVISORS LLC

BD

CRD#: 25803

Boulder, CO

Past

February 1, 2008 - April 16, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

LAFAYETTE, CO

Past

February 1, 2008 - April 16, 2013

LPL FINANCIAL LLC

BD

CRD#: 6413

LAFAYETTE, CO

Past

February 27, 2001 - February 11, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOULDER, CO

Past

May 25, 1999 - February 11, 2008

CITIGROUP GLOBAL MARKETS INC.

BD

CRD#: 7059

BOULDER, CO

Past

May 8, 1995 - June 3, 1999

UBS FINANCIAL SERVICES INC.

BD

CRD#: 8174

WEEHAWKEN, NJ

Past

January 20, 1994 - April 28, 1995

BANC ONE SECURITIES CORPORATION

BD

CRD#: 16999

CHICAGO, IL

Past

February 2, 1993 - January 13, 1994

BA INVESTMENT SERVICES, INC.

BD

CRD#: 12965

OAKLAND, CA

Past

May 3, 1991 - February 8, 1993

INVEST FINANCIAL CORPORATION

BD

CRD#: 12984

APPLETON, WI

Past

September 29, 1989 - October 26, 1990

FIDELITY BROKERAGE SERVICES LLC

BD

CRD#: 7784

SMITHFIELD, RI

Past

April 18, 1988 - October 10, 1989

AMERICAN CAPITAL MARKETING, INC.

BD

CRD#: 6699

Past

April 18, 1988 - October 10, 1989

ADVANTAGE CAPITAL CORPORATION

BD

CRD#: 146

ATLANTA, GA

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".

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 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: 6/27/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 7/1/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 31

Date: 6/27/2003

Futures Managed Funds Examination

General Industry/Product Exam

RR

Series 7

Date: 8/9/1993

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 3/24/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

CA

CSENGE ADVISORY GROUP, LLC

CRD#: 131167 / SEC#: 801-72792

RIA

Registered Investment Advisory firm - (10/13/2011 Approved)

Florida

Registered Investment Advisory firm - (11/8/2011 Terminated)

Texas

Registered Investment Advisory firm - (11/15/2007 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).

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Contact information

Main Address

4755 East Bay Drive, Clearwater, FL 33764

Mailing Address

Phone number

(727) 437-6000

Established

Firm type

Fiscal year end

# of Employees

79

SEC notice filing (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CAG WRAP FEE PROGRAM (3/25/2025)

CAG ADV PART 2 (3/25/2025)

Regulatory assets under management

Total Number of Accounts	14,643
AUM (Assets Under Management)	$ 2,882,684,461

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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Advisor Monitoring

Firm Stability Insights

Guy A. Harrigan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CSENGE ADVISORY GROUP, LLC

LION STREET ADVISORS, LLC

LION STREET FINANCIAL, LLC

TRIAD ADVISORS LLC

TRIAD ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

UBS FINANCIAL SERVICES INC.

BANC ONE SECURITIES CORPORATION

BA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

FIDELITY BROKERAGE SERVICES LLC

AMERICAN CAPITAL MARKETING, INC.

ADVANTAGE CAPITAL CORPORATION

Primary Firm SEC Registration

CSENGE ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/27/1994

Series 63

Date: 7/1/1988

SIE

Date: 10/1/2018

Series 31

Date: 6/27/2003

Series 7

Date: 8/9/1993

Series 6

Date: 3/24/1988

Current Firm

CSENGE ADVISORY GROUP, LLC

Contact information

SEC notice filing (45 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CSENGE ADVISORY GROUP, LLC

TRUST BUT VERIFY

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