Andrew J. Walker

GUIDANCE POINT RETIREMENT SERVICES

Portland, ME 04101

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CRD#: 3185396

Professional summary

Andrew Jay Walker, who also goes by A.j. Walker, is a registered financial advisor currently at GUIDANCE POINT RETIREMENT SERVICES, LLC located in Portland, Maine and GUIDANCE POINT ADVISORS, LLC located in Portland, Maine.

Andrew is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Andrew has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

A.j. Walker

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.

A.J. IS THE PRESIDENT AND ONLY SHAREHOLDER OF ACACIA ASSOCIATES INC. HE PROVIDES RETIREMENT PLAN DESIGN AND CONSULTING SERVICES AS WELL AS MANAGEMENT AND MARKETING CONSULTING SERVICES TO SMALL AND MID SIZE ORGANIZATIONS. HE SPENDS 30% OF HIS TIME DURING NORMAL WORKING HOURS (8:00AM - 5:00PM) ON THESE SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Jay Walker'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®

None

Experience

Current

February 28, 2012 - Present

GUIDANCE POINT RETIREMENT SERVICES, LLC

Office #1: 136 Commercial Street Suite 301, Portland, ME 04101

RIA

CRD#: 161000

Portland, ME

Current

August 28, 2013 - Present

GUIDANCE POINT ADVISORS, LLC

Office #1: 136 Commercial Street Suite 301, Portland, ME 04101

RIA

CRD#: 148768

Portland, ME

Past

December 17, 2008 - August 3, 2012

MULTNOMAH GROUP, INC.

RIA

CRD#: 132131

PORTLAND, ME

Past

June 2, 2006 - September 22, 2008

PENTEGRA INVESTORS, INC.

RIA

CRD#: 111503

LAKE SUCCESS, NY

Past

June 29, 2004 - September 22, 2008

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249

LAKE SUCCESS, NY

Past

August 7, 2002 - April 22, 2004

INVESMART ADVISORS INC

RIA

CRD#: 108731

PORTLAND , ME

Past

January 30, 2002 - April 22, 2004

INVESMART SECURITIES, LLC

CRD#: 104168

PITTSBURGH, PA

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".

GUIDANCE POINT ADVISORS, LLC

CRD#: 148768 / SEC#: 801-77258

RIA

Registered Investment Advisory firm - (10/16/2012 Approved)

Maine

Registered Investment Advisory firm - (11/5/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (10/25/2012 Terminated)

New York

Registered Investment Advisory firm - (10/23/2012 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

Maine
(2/28/2012)

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: 6/10/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/5/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/1/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/17/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/1/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 10/30/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

GUIDANCE POINT ADVISORS, LLC

CRD#: 148768 / SEC#: 801-77258

RIA

Registered Investment Advisory firm - (10/16/2012 Approved)

Maine

Registered Investment Advisory firm - (11/5/2012 Terminated)

Massachusetts

Registered Investment Advisory firm - (10/25/2012 Terminated)

New York

Registered Investment Advisory firm - (10/23/2012 Terminated)

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Contact information

Main Address

Wellesley, MA

Mailing Address

Phone number

(617) 869-6653

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/11/2025)

Regulatory assets under management

Total Number of Accounts	680
AUM (Assets Under Management)	$ 492,368,300

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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Firm Stability Insights

Andrew J. Walker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew Jay Walker's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDANCE POINT ADVISORS, LLC

MULTNOMAH GROUP, INC.

PENTEGRA INVESTORS, INC.

PENTEGRA DISTRIBUTORS INC.

INVESMART ADVISORS INC

INVESMART SECURITIES, LLC

Primary Firm SEC Registration

GUIDANCE POINT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/10/2002

Series 63

Date: 12/5/2001

Series 7

Date: 3/1/2006

Series 6

Date: 10/17/2001

Series 24

Date: 5/1/2006

Series 26

Date: 10/30/2001

Current Firm

GUIDANCE POINT ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUIDANCE POINT ADVISORS, LLC

TRUST BUT VERIFY

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