Joan M. Guccione

VALUE INVESTMENT PROFESSIONALS

SHELTON, CT

CRD#: 2684031

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Professional summary

Joan M Guccione, CFP® is a registered financial advisor currently at VALUE INVESTMENT PROFESSIONALS, LLC located in Shelton, Connecticut.

Joan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joan has worked at 3 firms and has passed the Series 65 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Joan M Guccione's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1992

Experience

Current

December 4, 2023 - Present

VALUE INVESTMENT PROFESSIONALS, LLC

RIA

CRD#: 164704

SHELTON, CT

Past

August 18, 2004 - December 31, 2023

FLEETWOOD ASSET MANAGEMENT LTD.

RIA

CRD#: 132095

MILFORD, CT

Past

August 21, 2002 - October 19, 2004

RESNICK ADVISORS

RIA

CRD#: 105927

WESTPORT, CT

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".

VALUE INVESTMENT PROFESSIONALS, LLC

VALUE INVESTMENT PROFESSIONALS | VALUE INVESTMENT PROFESSIONALS, LLC

CRD#: 164704 / SEC#: 801-126351

RIA

Registered Investment Advisory firm - (8/5/2022 Approved)

New Jersey

Registered Investment Advisory firm - (9/30/2022 Terminated)

New York

Registered Investment Advisory firm - (9/6/2022 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.

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

Connecticut
(12/4/2023)

IAR

Louisiana
(11/24/2025)

IAR

Texas
(1/10/2024)

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: 1/5/1996

Uniform Investment Adviser Law Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/1996

General Securities Principal Examination

Current Firm

VALUE INVESTMENT PROFESSIONALS, LLC

VALUE INVESTMENT PROFESSIONALS | VALUE INVESTMENT PROFESSIONALS, LLC

CRD#: 164704 / SEC#: 801-126351

RIA

Registered Investment Advisory firm - (8/5/2022 Approved)

New Jersey

Registered Investment Advisory firm - (9/30/2022 Terminated)

New York

Registered Investment Advisory firm - (9/6/2022 Terminated)

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Contact information

Main Address

125 Park Avenue 25th Floor, New York, NY 10017

Mailing Address

Phone number

(646) 383-7757

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV2A (3/3/2026)

Regulatory assets under management

Total Number of Accounts	158
AUM (Assets Under Management)	$ 246,737,018

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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Joan M. Guccione

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joan M Guccione's CRS (Customer Relationship Summary).

Certified licenses

Experience

VALUE INVESTMENT PROFESSIONALS, LLC

FLEETWOOD ASSET MANAGEMENT LTD.

RESNICK ADVISORS

Primary Firm SEC Registration

VALUE INVESTMENT PROFESSIONALS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/5/1996

Series 24

Date: 4/9/1996

Current Firm

VALUE INVESTMENT PROFESSIONALS, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALUE INVESTMENT PROFESSIONALS, LLC

TRUST BUT VERIFY

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