Douglas K. Guernsey

GUERNSEY FINANCIAL

Pensacola, FL 32504

Some features on this profile are disabled

CRD#: 2922887

Professional summary

Douglas K Guernsey, who also goes by Douglas Kent Guernsey, is a registered financial advisor currently at GUERNSEY FINANCIAL, LLC located in Pensacola, Florida.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas Kent Guernsey

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.

1. Guernsey & Associates G & A as a dba Start: 09/14/2011 Address: 6704-A Plantation Road, Pensacola FL 32504 160 hrs per month Investment related 2. Plantation Road Town Office Owners Association Inc Officer (VP) Start: 08/01/2018 Address: 6702 B Plantation Rd Pensacola FL 32504 1 bus hr per month Not investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas K Guernsey'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

February 13, 2019 - Present

GUERNSEY FINANCIAL, LLC

Office #1: 6704 Plantation Rd Suite A, Pensacola, FL 32504

RIA

CRD#: 299037

Pensacola, FL

Past

July 26, 2011 - February 8, 2019

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

PENSACOLA, FL

Past

May 3, 1999 - February 8, 2019

PARK AVENUE SECURITIES LLC

CRD#: 46173

PENSACOLA, FL

Past

November 17, 1997 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

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

Alabama
(10/11/2019)

IAR

Florida
(2/19/2019)

IAR

North Carolina
(11/13/2019)

IAR

Texas
(2/13/2019)

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: 6/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/13/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 11/14/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUERNSEY FINANCIAL, LLC

CRD#: 299037 / SEC#:

Alabama

Registered Investment Advisory firm - (10/11/2019 Approved)

Florida

Registered Investment Advisory firm - (2/19/2019 Approved)

North Carolina

Registered Investment Advisory firm - (11/7/2019 Approved)

Texas

Registered Investment Advisory firm - (1/3/2019 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

6704 Plantation Rd Suite A, Pensacola, FL 32504

Mailing Address

Phone number

(850) 476-3491

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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.

Similar Advisors

Robert Johnson

CETERA INVESTMENT ADVISERS LLC

IAR

MUSKEGON, MI

Dena Wilhoit

STATE FARM INVESTMENT MANAGEMENT CORP.

IAR

GRAYSON, KY

Louis Czerwinski

PKS ADVISORY SERVICES, LLC

IAR

Southington, CT

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Douglas K. Guernsey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas K Guernsey's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUERNSEY FINANCIAL, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/8/2011

Series 63

Date: 2/13/2006

SIE

Date: 10/1/2018

Series 6

Date: 11/14/1997

Current Firm

GUERNSEY FINANCIAL, LLC

Contact information

Documents

Red Flags

Company Information

GUERNSEY FINANCIAL, LLC

TRUST BUT VERIFY

Similar Advisors