Francisco A. Guia

VISTA ALTA INVESTMENTS

Coral Gables, FL 33146

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CRD#: 2603855

Professional summary

Francisco Armando Guia, who also goes by Francisco Guia, is a registered financial advisor currently at VISTA ALTA INVESTMENTS located in Coral Gables, Florida.

Francisco is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Francisco has worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Francisco Guia

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.

Vista Alta Consultants, LLC (Miami, FL) Shareholder. Personal Holding Company / Consulting Firm. 80 hrs / month. General management of the company and consulting services. CEO of Vista Alta Management Solutions Inc. General management and consulting services. Spica Telecom SA de SV (Mexico). Non-financial. Board Member. Attend monthly board meetings. 3 hrs per month. No compensation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Armando Guia's CRS (Customer Relationship Summary).

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

Current

August 21, 2019 - Present

VISTA ALTA INVESTMENTS

Office #1: 4000 Ponce De Leon Blvd Suite 470, Coral Gables, FL 33146

RIA

CRD#: 288070

Coral Gables, FL

Past

April 6, 1995 - September 5, 2014

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MIAMI, FL

Past

April 3, 1995 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 3, 1995 - September 5, 2014

EQUITABLE ADVISORS, LLC

CRD#: 6627

MIAMI, FL

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(8/21/2019)

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: 11/28/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/1/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/7/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/30/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/24/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/21/2002

General Securities Principal Examination

Current Firm

VISTA ALTA INVESTMENTS

VISTA ALTA ADVISORS LLC | VISTA ALTA INVESTMENTS LLC | VISTA ALTA INVESTMENTS

CRD#: 288070 / SEC#: 801-116795

RIA

Registered Investment Advisory firm - (10/15/2020 Terminated)

Florida

Registered Investment Advisory firm - (2/21/2020 Approved)

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

4000 Ponce De Leon Blvd Suite 470, Coral Gables, FL 33146

Mailing Address

Phone number

(305) 777-0200

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	3
AUM (Assets Under Management)	$ 16,013,831

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

Francisco A. Guia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Francisco Armando Guia's CRS (Customer Relationship Summary).

Certified licenses

Experience

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/28/2018

Series 63

Date: 10/1/1998

Series 7

Date: 9/7/1999

Series 6

Date: 3/30/1995

Series 53

Date: 6/24/2009

Series 24

Date: 10/21/2002

Current Firm

VISTA ALTA INVESTMENTS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VISTA ALTA INVESTMENTS

TRUST BUT VERIFY

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