BG
Brett D. Guiley
VISTA INVESTMENT PARTNERS
Richmond, IN 47374
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CRD#: 4145989
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Professional summary
Brett Douglas Guiley, CFP®, who also goes by Brett D Guiley, Brett D. Guiley, is a registered financial advisor currently at VISTA INVESTMENT PARTNERS located in Richmond, Indiana and LEVEL FOUR FINANCIAL, LLC located in Richmond, Indiana.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brett has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brett D Guiley | Brett D. Guiley
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. VISTA INVESTMENT PARTNERS, LLC - REGISTERED RIA. INVESTMENT ADVISOR REPRESENTATIVE, MANAGEMENT OF CLIENT RELATIONSHIPS AND PORTFOLIOS / 140 HOURS PER MONTH DEVOTED DURING TRADING HOURS / STARTED 1/2018. INVESTMENT RELATED 2. VISTA INVESTMENT PARTNERS - DBA NAME FOR BROKERAGE BUSINESS CONDUCTED THROUGH LEVEL FOUR FINANCIAL, LLC., REGISTERED REPRESENTATIVE, 20 HOURS PER MONTH DEVOTED DURING TRADING HOURS / STARTED 10/2022. INVESTMENT RELATED 3. INSURANCE SALES, AGENT, SERVICES AND SELLS VARIOUS LINES OF NON-SECURITIES INSURANCE PRODUCTS AND FIXED ANNUITIES, DEVOTES APPROXIMATELY 60 HOURS PER MONTH WITH 50 BEING DURING TRADING HOURS / STARTED 3/2020. INVESTMENT RELATED 4. WOODSIDE DRIVE, LLC, COMMERCIAL PROPERTY CO-OWNER & LANDLORD, NOT SECURITIES RELATED, INVESTMENT PROPERTY, STARTED 5/30/2022, DEVOTE APPROXIMATELY 5 HOURS PER MONTH TO THIS ACTIVITY, ONE HOUR DURING TRADING HOURS 5. FARMING, NOT INVESTMENT RELATED, RENT OWNED PROPERTY TO FARMER FOR FARMER, STARTED 1/1/2022, NO TIME IS DEVOTED TO THIS ACTIVITY DURING TRADING HOURS. 6. WAYNE COUNTY FOUNDATION, STARTED 1/3/2023, COUNTY FOUNDATION NON-PROFIT THAT HOLDS AND MANAGED DONATIONS AND ENDOWMENTS FOR USE IN THE LOCAL COMMUNITY IN THE FORM OF DISTRIBUTIONS TO NON-PROFITS AND SCOLARSHIPS FOR LOCAL YOUTH. 1 HOUR PER MONTH IS DEVOTED TO THIS ACTIVITY DURING TRADING HOURS, I AM A VOLUNTEER BOARD MEMBER. 7. REID HEALTH GOVERNING BOARD, LOCAL HOSPITAL WHERE I SERVE ON THE FINANCE COMMITTEE, VOLUNTEER POSITION, HEALTH CARE NON-PROFIT. STARTED GOVERNING BOARD ON 1/3/2023. 1.5 HOURS PER MONTH IS DEVOTED TO THIS ACTIVITY DURING TRADING HOURS, I AM A VOLUNTEER BOARD MEMBER. 8. TRIANGLE THERAPY ASSOCIATION (501(c)(3)), BOARD PRESIDENT, STARTED 1/1/2001, NON PROFIT THAT FUNDRAISES AND MAKES GRANT REQUESTS TO SUPPORT SCHOLARSHIPS TO DISABLED CHILDREN. TRIANGLE THERAPY SERVICES, LLC OFFERS PHYSICAL, SPEECH AND OCCUPATIONAL THERAPY IN A NON-TRADITIONAL BARN SETTING WITH ANIMALS. NO TIME IS DEVOTED TO THIS ACTIVITY DURING TRADING HOURS. 9. ORANGE HORIZON WEALTH, LLC, CONSULTING AND WEALTH MANAGEMENT, REGISTERED AGENT OF THE ENTITY, CEO, OVERSEE ALL OPERATIONS DECISIONS AND GROWTH OPPORTUNITIES, INVESTMENT RELATED, STARTED 5/20/2024, DEVOTE 20 HOURS PER WEEK WITH 15 DURING TRADING HOURS, 1 WOODSIDE DRIVE, RICHMOND IN 47374 10. BTC ADVISORS, LLC, PASSIVE HOLDING COMPANY FOR SHARES OF ORANGE HORIZON WEALTH, LLC, STARTED 5/20/2024, DEVOTE LESS THAN 1% OF TIME OUTSIDE OF TRADING HOURS TO THIS ENTITY, INVESTMENT RELATED, SHAREHOLDER AND PASSIVE OWNER, LOCATED AT 1 WOODSIDE DRIVE, RICHMOND IN 47374.
CRS (Client Relationship Summary) - RIA
Click below to view Brett Douglas Guiley'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®
CFP®
Start date: 2011
Experience
Current
November 2, 2023 - Present
VISTA INVESTMENT PARTNERS
Office #1: One Woodside Drive, Richmond, IN 47374RIA
CRD#: 327983
Richmond, IN
Current
October 17, 2022 - Present
LEVEL FOUR FINANCIAL, LLC
Office #1: 1 Woodside Drive, Richmond, IN 47374BD
CRD#: 25700
Richmond, IN
Past
February 2, 2018 - November 20, 2023
VISTA INVESTMENT PARTNERS LLC
RIA
CRD#: 286014
RICHMOND, IN
Past
January 2, 2018 - January 18, 2022
CANTELLA & CO., INC.
BD
CRD#: 13905
Richmond, IN
Past
January 12, 2006 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
RICHMOND, IN
Past
December 20, 2005 - December 31, 2017
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
RICHMOND, IN
Past
June 26, 2000 - January 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
RICHMOND, IN
Past
May 3, 2000 - January 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS
CRD#: 327983 / SEC#: 801-128904
RIA
Registered Investment Advisory firm - (10/13/2023 Approved)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(1/13/2023)
RR
Illinois(1/5/2024)
RR
Indiana(10/17/2022)
IAR
Indiana(11/2/2023)
RR
Missouri(1/3/2023)
RR
Ohio(1/4/2023)
IAR
Texas(1/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VISTA INVESTMENT PARTNERS
ORANGE HORIZON WEALTH, LLC | VISTA INVESTMENT PARTNERS II, LLC | VISTA INVESTMENT PARTNERS
CRD#: 327983 / SEC#: 801-128904
RIA
Registered Investment Advisory firm - (10/13/2023 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
One Woodside Drive, Richmond, IN 47374
Mailing Address
Phone number
(765) 962-5153
Established
Firm type
Fiscal year end
# of Employees
10
SEC notice filing (10 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,427 |
| AUM (Assets Under Management) | $ 321,808,359 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
